Carty Financial, Inc.

Overview

Carty Financial, Inc. is a small, independent registered investment adviser that operates primarily as a non‑discretionary advisor and capital allocator. The firm serves individual and family clients as well as some institutional relationships, offering financial planning, portfolio management for individuals and small businesses, and selection of other advisers. Fee arrangements include percentage of AUM plus the option for hourly and fixed fees, which aligns with a consultative, advice‑first model rather than a universal discretionary portfolio mandate. Investment positioning is equity‑focused—exchange‑traded equities form the bulk of client assets—but the firm also allocates to a mix of traditional income and alternative exposures. Carty Financial acts as a selector of third‑party managers for alternative strategies and supplements public market exposures with annuities, mutual funds and corporate debt where appropriate to client objectives. The adviser is not an active ESG investor and is not registered as a multi‑state adviser.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices