Carr Financial Group Corporation
- Regulatory AUM
- $744M
- Discretionary
- $744M
- Clients
- 580
- Avg AUM / client
- $1.3M
- Accounts
- 1,560
- Employees
- 9
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of May 29, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 391 | $132M | 17.7% |
| High net worth individuals | 183 | $606M | 81.4% |
| Charitable organizations | Fewer than 5 clients | $3.9M | 0.52% |
| Corporations and other businesses | 6 | $2.5M | 0.33% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Prairie Meadows Racetrack & Casino Employee 401(k) Savings Plan Prairie Meadows Racetrack & Casino, Inc. | 2024 | |
| Hma Group Holdings, Llc 401(k) Plan Hma Group Holdings, Llc | 2024 |
People (7)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Richard Michael Carr | President | CFP Chartered Financial Consultant | Nov 2019 (7y) | 75% or more |
| Benjamin William Cauley | Chief Compliance Officer And Treasurer | CFP | Jan 2022 (5y) | 10% – 25% |
| Andrea Lynne Lucey | Secretary | CFP Chartered Financial Consultant | May 2022 (4y) | 10% – 25% |
| Christopher Paul Carelli | Registered representative | Feb 2022 (4y) | ||
| Spencer Mills Lyons | Registered representative | CFP | Mar 2022 (4y) | |
| Leah Helen Michalowski | Registered representative | Mar 2025 (1y) | ||
| Mark Graziano Distefano | Registered representative | Jan 2026 (1y) |
Undisclosed: 0% – 5% 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.
Retirement plans served (2)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Prairie Meadows Racetrack & Casino Employee 401(k) Savings Plan | Prairie Meadows Racetrack & Casino, Inc. | 919 | $91.3M | 01/01/2024 |
| Hma Group Holdings, Llc 401(k) Plan | Hma Group Holdings, Llc | 1,261 | $245M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/29/2026 | 1.01 MB | 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
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $744M (100% of AUM) May 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: May 29, 2026.
View current Form ADV (SEC/IAPD) ↗