SourcingSourcing

CARTER FINANCIAL GROUP, INC.

B54
CRD 301025·SEC 801-118263·BARRINGTON, IL
AUM
$382.2M
$100M-$500M
Est. Revenue
$3.8M
@ 1% on AUM
Est. EBITDA
$1.1M
@ 30% margin
Est. Deal Value
$9.2M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
CARTER FINANCIAL GROUP, INC.
CRD
301025
SEC file #
801-118263
EIN
364339370
DBA names
—

Economics

AUM
$382.2M
AUM band
$100M-$500M
AUM trajectory
'21'26
$136.0M → $382.2M▲ +181%
Client mix
Individuals Other777
Individuals High Net Worth49

Operations

Employees (total)
9
Advisory staff (per ADV)
6
Advisory staff (5-yr trend)
'21'26
6 advisors → 6 advisors▬ 0%
Primary office
BARRINGTON IL
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsSelection of other advisers
Fee basis
% of AUMFixed feesCommissions

Filings

Latest ADV filing
03/05/2026
ADV-W filed at
—
Website
linkedin.com/in/kevin-k-carter-7687b84(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
CARTER, KEVIN, KENNETH
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
4
Control Persons
CARTER, KEVIN, KENNETH
HAGAN, STEPHANIE, LEIGH
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
social_url_excluded:linkedin.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001919749
Edgar Registered
Yes
Edgar Filing Count
5
Edgar First Filing Date
2022-05-03
Edgar Last Filing Date
2026-04-27
Edgar 13f Count
5
Edgar 13f Latest AUM Estimate
Filing Date2026-04-27
Accession0001104659-26-049334

Compliance & brand

Firm Registration Status
active

All other collected signals (12)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
2
Bc Firm Active IA Count
5
Bc Firm IAR Count
5
Custodian Candidates
Full
Charles Schwab6
E*trade4
Edgar Addresses
Mailing
222 S. COOK ST.BARRINGTON, IL 60010
Business
222 S. COOK ST.BARRINGTON, IL 60010
Edgar EIN
364339370
Edgar Recent Filings
13F-HR2026-04-27 · 0001104659-26-049334
13F-HR2026-02-13 · 0001104659-26-014882
Firm Has Custody
Yes
Mailing Office Differs
No
Top Owner CRD
1466159
Trust Company Affiliate
No

People (6)

6
CARTER, KEVIN, KENNETH
IAR · Direct Owner · 87.5%
1466159
HAGAN, STEPHANIE, LEIGH
IAR · Direct Owner · 7.5%
2459538
KARCH, JENNIFER, ANN
IAR · Executive Officer · 2.5%
5960087
SADZEWICZ, GERY, JOSEPH
Executive Officer · 2.5%
1090963
Hannah Marie Carter
IAR
7332760
TERI LINN SHAW
IAR
4213164