Carapace Financial Advisors Llc
- Regulatory AUM
- $106M
- Discretionary
- $106M
- Clients
- 49
- Avg AUM / client
- $2.2M
- Accounts
- 72
- Employees
- 5
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Sep 14, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| High net worth individuals | 46 | $68.8M | 64.6% |
| Pooled investment vehicles (non-investment companies) | 3 | $37.7M | 35.4% |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Frederick Paul Ziwot | Registered representative | Feb 2018 (9y) | ||
| Gregory Joseph Aroneo | Registered representative | Feb 2018 (9y) | ||
| Timothy Gerard Moran | Registered representative | Apr 2019 (7y) | ||
| Ryan Joseph Toohers | Registered representative | Aug 2023 (3y) | ||
| William Starkey Mc Carthy | Registered representative | CFA | Mar 2024 (3y) |
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) | 03/27/2026 | 1.64 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
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $29.1M (32% of AUM) Mar 2026
- Pershing $26.2M (28% 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: Sep 14, 2026.
View current Form ADV (SEC/IAPD) ↗