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CARTER FINANCIAL GROUP, INC.
CRD 301025File 801-118263
APPROVED
Retail clients
Custody
Filing as of Mar 5, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$382.2M
Below cohort median (national)
Discretionary AUM
$332.0M
Non-discretionary $50.3M
Clients
826
2,257 accounts
Employees
9
Below cohort median in IL
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- CHRO
- Registration date
- Jun 19, 2020
- Principal office
- 222 SOUTH COOK STREET, BARRINGTON, IL, 60010
- Phone
- 847-713-2700
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $382.2M
- Discretionary AUM
- $332.0M
- Non-discretionary AUM
- $50.3M
- Discretionary accounts
- 1,655
- Non-discretionary accounts
- 602
- Total accounts
- 2,257
- AUM per client
- $463K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | Fewer than 5 | $8.9M |
| High net worth individuals | 49 | $136.8M |
| Individuals (other than high net worth individuals) | 777 | $236.5M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Commissions
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- 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
- Yes
- 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 | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 812 | 826 | increased by14 |
| Apr 1, 2026 | AUM | $325,060,934 | $382,228,531 | increased by$57,167,597 |
| Apr 1, 2026 | Accounts | 2,093 | 2,257 | increased by164 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 764 | 812 | increased by48 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $255,870,000 | $325,060,934 | increased by$69,190,934 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 1,819 | 2,093 | increased by274 |
| Apr 1, 2022 | Employees | 6 | 9 | increased by3 |
| Apr 1, 2022 | Custody | No | Yes | |
| Apr 1, 2022 | Clients | 648 | 764 | increased by116 |
| Apr 1, 2022 | AUM | $207,784,000 | $255,870,000 | increased by$48,086,000 |
| Apr 1, 2022 | Accounts | 1,536 | 1,819 | increased by283 |
| 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 “CARTER FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“CARTER FINANCIAL” 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.