Carty Financial, Inc.
Firm details
- Headquarters
- ,
- CRD number
- 144564
- Website
- cartyfinancial.com
- Custodians
- CHARLES SCHWAB & CO., INC.
- Fee structure
- Percentage of AUM, Hourly Charges, Fixed Fees
- Client types
- HNWI82.05%
- Individuals17.4%
- Pension & Profit Sharing Plans0.55%
- Services
- Financial PlanningPortfolio Management for IndividualsSelection of Other Advisers
Firm profile
FINTRXOverview
Carty Financial, Inc. is an independent registered investment adviser operating as a California corporation under individual ownership. The firm acts as a capital allocator for both individual/family and institutional clients, offering financial planning, portfolio management for individuals and small businesses, and selection of third‑party advisers. Its fee schedule is flexible and includes percentage-of-AUM billing alongside hourly and fixed-fee arrangements. The adviser does not position itself as an ESG investor and is not structured as a multi-state practice.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
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
- Exchange Traded Equities83%
- Cash & Cash Equivalents9%
- US Government Bonds8%
Owners & executives
1 of 1Charles Carty
President and Chief Compliance OfficerCRD 2365884
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXLocation
, null
Location
, null
Headquartered in , null.
- Office locations
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