Wealth manager, independent · Houston, TX
Adell Harriman & Carpenter
Adell Harriman & Carpenter Inc · SEC-registered investment adviser · CRD 107488 · SEC 801-50660
At a glance
Adell Harriman & Carpenter is an SEC-registered investment adviser based in Houston, Texas, with $2.1B in regulatory assets under management as of its Form ADV filed August 27, 2026. It reports 764 individual clients, 524 of them high-net-worth, holding an average of about $2.5 million each, and 13 employees. That ranks it 530th among the nation’s 5,657 independent wealth management RIAs and 30th of 367 in Texas. It reports Fidelity as the custodian for its clients’ separately managed accounts.
Main office 713-621-1155ahcinvest.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $2.1B
- Rank among independent wealth managers
- #530 of 5,657
- Rank among all SEC RIAs
- #3,533 of 17,210
- Rank in Texas
- #30 of 367
- Individual clients
- 764
- High-net-worth clients
- 524
- Accounts
- 2,825
- Discretionary
- 100% of AUM
- Employees
- 13
- Advisory staff
- 5
- Offices
- 1
Owners and executives on its Form ADV
- Leia P. CarpenterPrincipal
- Stephen D. AdellPrincipal
- Marcus W. BerryChief Executive Officer, President, and Principal
- Scot W. JohnsonPrincipal
- Jennifer L. BarronPrincipal
- Cynthia A. WolffChief Compliance Officer and General Counsel
Custody and brokerage
Broker-dealer
No broker-dealer ties
Adell Harriman & Carpenter reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 524 | $1.8B | 86% |
| Corporations or other businesses | 24 | $156M | 7% |
| Individuals | 240 | $79M | 4% |
| Pension and profit sharing plans | 20 | $40M | 2% |
| Charitable organizations | 11 | $13M | <1% |
Disciplinary disclosures
Adell Harriman & Carpenter reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗ahcinvest.com ↗
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The full record on Adell Harriman & Carpenter
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 1,884 peers of its type and size
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- Owners and executives, with titles and stakes
- 6 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Similar-size RIAs in Texas
All of Texas →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Sather Financial Group, Inc.Victoria | $2.3B | 448 |
| Root Financial PartnersAustin | $2.1B | 852 |
| Ascentis Independent Advisors, LLCDallas | $2.1B | 2,690 |
| Inscription Capital, LLCHouston | $2.0B | 414 |
| Corda Investment Management, LLCHouston | $2.0B | 1,359 |
| Balefire, LLCDallas | $2.0B | 1,757 |
Background
Questions
How much does Adell Harriman & Carpenter manage?
Adell Harriman & Carpenter reports $2.1B in regulatory assets under management across 2,825 accounts, 100% of it on a discretionary basis, on its Form ADV filed August 27, 2026.
How many clients does Adell Harriman & Carpenter have?
It reports 764 individual clients: 524 high-net-worth individuals and 240 other individuals. Individuals account for about 90% of its regulatory assets.
Where is Adell Harriman & Carpenter headquartered?
Its main office is in Houston, Texas. It reports 1 office in total and 13 employees, 5 of whom perform investment advisory functions.
How does Adell Harriman & Carpenter charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Adell Harriman & Carpenter use?
It reports Fidelity as the custodian for its clients’ separately managed accounts. On Schedule D of its Form ADV filed August 27, 2026, it reports these amounts held: Fidelity ($2.1B). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Adell Harriman & Carpenter a hybrid RIA with a broker-dealer?
Adell Harriman & Carpenter reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Is Adell Harriman & Carpenter a fiduciary?
As an SEC-registered investment adviser, Adell Harriman & Carpenter owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. It reports no employees who are registered representatives of a broker-dealer.
Where these numbers come from
Every figure is Adell Harriman & Carpenter’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-08-27), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →