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 registered investment advisor organized as an LLC and first registered with the SEC in 2019. The firm is owner-operated and focuses on individual and family clients, offering financial planning and portfolio management services for individuals and small businesses. Pricing is a mix of percentage-of-AUM and fixed fees. Carter Financial does not market itself as an ESG-focused advisor, and its practice is structured for a single-state footprint rather than as a multi-state adviser.
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
3 of 3STEVEN CARTER
President & Senior AdvisorCRD 1389126
HEATHER QUINTERO
Senior Research AssociateCRD 6135757
CHRISTINA Hammann
Financial Planning ManagerCRD 6405356
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 26Active vs passive
$141M in ETFs
56%
$78.9M
44%
$62.2M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| VANGUARD GROWTH INDEX FUND (VUG) | Vanguard | Passive | Large Growth | $28.2M | 64,574 | 19.99% |
Location
LA JOLLA, CA
SAN DIEGO
Location
LA JOLLA, CA
Headquartered in LA JOLLA, CA, in the West of the United States.
- Region
- West
- County
- SAN DIEGO
- Address
- 4225 Executive Sq
- Time zone
- PT (UTC-8)
- Office locations
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