Carter Financial, LLC
● SEC registered since 2019CRD 298327SEC# 801-117265La Jolla, CA
Reg. AUM
$282.3M
Employees
3
Accounts
489
Location
La Jolla, CA
Carter Financial, LLC assets under management
Carter Financial, LLC is a registered investment adviser overseen by the SEC based in La Jolla, CA. The firm has been registered since 2019. It reports $282.3 million in regulatory assets under management and employs 3 people.
Carter Financial, LLC owners & executives
2 reported| Name | Title | Ownership | Since |
|---|---|---|---|
| Christina Michelle Hammann Control | Chief Compliance Officer | 25-50% | 2019 |
| Steven Frederick Carter Control | Principal And Financial Planning Manager | 50-75% | 2019 |
Frequently asked questions
How much does Carter Financial, LLC manage?
Carter Financial, LLC reports $282.3 million in regulatory assets under management on its Form ADV.
How many employees does Carter Financial, LLC have?
Carter Financial, LLC reports 3 employees.
Where is Carter Financial, LLC located?
Carter Financial, LLC is based in La Jolla, CA and has been SEC-registered since 2019.
Does Carter Financial, LLC disclose fund performance?
Carter Financial, LLC is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.
Contact & registration
| Address | 4225 Executive Square, Suite 1030, La Jolla, CA 92037 |
| Phone | 858-678-0579 |
| Office hours | 7:30a.m.-5:00p.m. |
| SEC region | Los Angeles Regional Office (LARO) |
| Discloses disciplinary history | No |
Regulatory AUM
$282.3M▲ 12%
Mar '25Form ADV, monthlyJun '26
How this firm compares
Regulatory AUMTop 64%
Larger than 36% of 16,271 advisers
EmployeesTop 77%
More than 23% of 16,825 advisers
Assets under management
$282.3Mregulatory AUM
Discretionary $282.3M