AUMdb

Carter Financial Group, Inc.

SEC-registered Insurance-Affiliated · Small ($100M–$1B) CRD 301025 · SEC file 801-118263 · Barrington, IL · www.linkedin.com
☆ Save with Pro ADV data as of Mar 05, 2026
Regulatory AUM
$382M
Discretionary
$332M
Clients
826
Avg AUM / client
$463K
Accounts
2,257
Employees
9

AUM over time

$136M $382M
Dec 2019 Dec 2025

Annual snapshots from Form ADV filings · as of Mar 05, 2026

Who they serve

Client typeClientsAUM% 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
NameRole / titleCredentialsWith firm sinceOwnership
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)

FormPeriodSize
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

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) ↗