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CAROTA WEALTH MANAGEMENT
CRD 127344File 801-120393
APPROVED
Retail clients
Disclosure events
Filing as of Aug 18, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$135.0M
Bottom 25% of cohort (national)
Discretionary AUM
$135.0M
Clients
221
443 accounts
Employees
2
Identity & registration
ADV Item 1- Organization form
- Sole Proprietorship
- Firm type
- Registered
- SEC region
- ARO
- Registration date
- Feb 26, 2021
- Principal office
- Not reported
- Phone
- 610-828-1155
- Website
- http://www.carotawealth.com
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $135.0M
- Discretionary AUM
- $135.0M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 443
- Non-discretionary accounts
- 0
- Total accounts
- 443
- AUM per client
- $611K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 60 | $95.6M |
| Pension and profit sharing plans | 3 | $2.4M |
| Individuals (other than high net worth individuals) | 158 | $37.0M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- Subscription fees
- A percentage of assets under your management
Advisory activities
- Other
- Publications
- Financial planning services
- Portfolio management for other
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11D4
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Aug 1, 2026 | Clients | 211 | 221 | increased by10 |
| Mar 1, 2026 | Employees | 3 | 2 | decreased by1 |
| Mar 1, 2026 | Clients | 168 | 211 | increased by43 |
| Mar 1, 2026 | AUM | $99,381,696 | $135,002,387 | increased by$35,620,691 |
| Mar 1, 2026 | Accounts | 437 | 443 | increased by6 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 2 | 3 | increased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 118 | 168 | increased by50 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $104,143,000 | $99,381,696 | decreased by$4,761,304 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 516 | 437 | decreased by79 |
| Mar 1, 2022 | Clients | 175 | 118 | decreased by57 |
| Mar 1, 2022 | AUM | $102,000,000 | $104,143,000 | increased by$2,143,000 |
| Mar 1, 2022 | Accounts | 462 | 516 | increased by54 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “CAROTA WEALTH” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“CAROTA WEALTH” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.