Carter Financial Group, Inc.
- Regulatory AUM
- $382M
- Discretionary
- $332M
- Clients
- 826
- Avg AUM / client
- $463K
- Accounts
- 2,257
- Employees
- 9
AUM over time
Annual snapshots from Form ADV filings · as of Mar 05, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 777 | $236M | 61.9% |
| High net worth individuals | 49 | $137M | 35.8% |
| Corporations and other businesses | 0 | $8.9M | 2.33% |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Jennifer Ann Karch | Member | CFP | Jan 2018 (9y) | Less than 5% |
| Gery Joseph Sadzewicz | Chief Compliance Officer | May 2019 (7y) | Less than 5% | |
| Kevin Kenneth Carter | President | CFP | Oct 2019 (7y) | 75% or more |
| Stephanie Leigh Hagan | Member | Oct 2019 (7y) | 5% – 10% | |
| Teri Linn Shaw | Registered representative | Apr 2021 (5y) | ||
| Hannah Marie Carter | Registered representative | Jul 2022 (4y) |
Undisclosed: 0% – 20% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/05/2026 | 941 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
- • Commissions
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $317M (83% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 05, 2026.
View current Form ADV (SEC/IAPD) ↗