Carter Financial, LLC
Firm details
- Headquarters
- La Jolla, California
- CRD number
- 298327
- Registered since
- August 29, 2019
- Website
- www.carterfinancialllc.com
- Custodians
- CHARLES SCHWAB & CO., INC.
- Fee structure
- Percentage of AUM, Fixed Fees
- Client types
- HNWI94.43%
- Individuals5.09%
- Corporations / Businesses0.47%
- Services
- Financial PlanningPortfolio Management for Individuals
Firm profile
FINTRXOverview
Carter Financial, LLC is an independent, SEC-registered registered investment adviser that began SEC registration in 2019 and is organized as an LLC under individual ownership. The firm serves individual and family clients with financial planning and portfolio management services, including work with small-business owners. Its compensation model combines percentage-of-AUM fees and fixed fees. Carter Financial identifies as a single-state adviser, does not position itself as a capital allocator, and does not describe itself as an active ESG investor.
Assets & Accounts
Public Holdings
Investments & Alternatives
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Public Funds/Mutual Funds55%
- Exchange Traded Equities44%
- Cash & Cash Equivalents1%
Contacts
2 of 2
Christina Hammann
CCOCRD 6405356
Heather Quintero
Senior Research AssociateCRD 6135757
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 55Active vs passive
$327M in ETFs
56%
$182M
45%
$146M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| VANGUARD GROWTH INDEX FUND (VUG) | Vanguard | Passive | Large Growth | $33.2M | 385,809 | 10.16% |
Location
La Jolla, CA
San Diego
Location
La Jolla, CA
Headquartered in La Jolla, CA, anchoring the San Diego-Chula Vista-Carlsbad, CA metro in the West.
- Metro area
- San Diego-Chula Vista-Carlsbad, CA
- Region
- West
- County
- San Diego
- Address
- 4225 Executive Sq
- Time zone
- PT (UTC-8)
- Office locations
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