Wealth manager, independent · Barrington, IL
Carter Financial Group, Inc.
SEC-registered investment adviser · CRD 301025 · SEC 801-118263
At a glance
Carter Financial Group, Inc. is an SEC-registered investment adviser based in Barrington, Illinois, with $382 million in regulatory assets under management as of its Form ADV filed March 5, 2026. Its largest client group by assets is individuals, and it reports 826 individual clients. By Form ADV it is a wealth manager, ranked 3,647th of 8,915 wealth managers and 9,013th of 17,210 SEC-registered advisers by assets.
Main office 847-713-2700carterfinancialgroup.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $382M
- Rank among wealth managers
- #3,647 of 8,915
- Rank among all SEC RIAs
- #9,013 of 17,210
- Rank in Illinois
- #405 of 684
- Individual clients
- 826
- High-net-worth clients
- 49
- Accounts
- 2,257
- Discretionary
- 87% of AUM
- Employees
- 9
- Advisory staff
- 6
- Offices
- 3
Owners and executives on its Form ADV
- Gery J. SadzewiczChief Compliance Officer
- Kevin K. CarterPresident
- Stephanie L. HaganMember
- Jennifer A. KarchMember
Custody and brokerage
Broker-dealer
Hybrid RIA
Carter Financial Group, Inc. is a hybrid RIA: 2 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed March 2026) names Mutual Securities as the broker-dealer its advisers are registered with.
Broker-Dealer or Representative Registration Kevin Carter is a registered representative of Mutual Securities, a FINRA-registered broker-dealer and member of SIPC.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 777 | $236M | 62% |
| High-net-worth individuals | 49 | $137M | 36% |
| Corporations or other businesses | – | $9M | 2% |
Disciplinary disclosures
Carter Financial Group, Inc. 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
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Fixed fees
- Commissions
Form ADV and brochures on the SEC’s adviser search ↗carterfinancialgroup.com ↗
AtlasMembers
The full record on Carter Financial Group, Inc.
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, 5 years of filings
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- Growth over one, three and five years
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- Rank against 6,136 peers of its type and size
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- Owners and executives, with titles and stakes
- 4 namedLocked
- Main office, fax and compliance officer
- Locked
- 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.
Background
Questions
How much does Carter Financial Group, Inc. manage?
Carter Financial Group, Inc. reports $382 million in regulatory assets under management across 2,257 accounts, 87% of it on a discretionary basis, on its Form ADV filed March 5, 2026.
What kind of firm is Carter Financial Group, Inc.?
Carter Financial Group, Inc. is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Carter Financial Group, Inc.’s clients?
By assets, its largest client types are individuals ($236 million, 777 clients); high-net-worth individuals ($137 million, 49 clients); corporations or other businesses ($9 million).
Does Carter Financial Group, Inc. have any disciplinary history?
Carter Financial Group, Inc. reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Carter Financial Group, Inc.’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 (2026-03-05), 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). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. 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 →