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CARTER FINANCIAL, LLC
CRD 298327File 801-117265
APPROVED
Retail clients
Custody
Filing as of Jul 8, 2026
Feed vintage Aug 17, 2026
Regulatory AUM
$282.3M
Below cohort median (national)
Discretionary AUM
$282.3M
Clients
177
489 accounts
Employees
3
Below cohort median in CA
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- LARO
- Registration date
- Aug 29, 2019
- Principal office
- 4225 EXECUTIVE SQUARE, SUITE 1030, LA JOLLA, CA, 92037
- Phone
- 858-678-0579
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $282.3M
- Discretionary AUM
- $282.3M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 489
- Non-discretionary accounts
- 0
- Total accounts
- 489
- AUM per client
- $1.6M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | Fewer than 5 | $1.3M |
| High net worth individuals | 106 | $266.6M |
| Individuals (other than high net worth individuals) | 71 | $14.4M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- 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 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To |
|---|---|---|---|
| Aug 12, 2026 | Registration | — | APPROVED |
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.