Carty Financial, Inc.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$40,000,000
This total excludes 2 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
55
38% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
55
HighAverage account size
$727,273
About
Carty Financial Inc. provides personalized investment management and financial planning to individuals, trusts, estates, small businesses, charitable organizations, and pension and profit‑sharing plans. The firm operates on a fee‑only basis and may coordinate with non‑affiliated third‑party managers when a client’s objectives call for external management.
CFI generally follows a non‑discretionary model in which clients approve transactions and the adviser executes trades under limited authority, with ongoing monitoring and periodic reviews. Portfolios commonly hold individual equities, ETFs, mutual funds, bonds and occasional covered‑call strategies, and recommendations draw on fundamental, technical, economic and geopolitical analysis.
Noteworthy features include the firm’s inclusion of pension and profit‑sharing plan clients and the predominance of non‑discretionary assets, which can result in a more collaborative trade approval process than many peers. The firm also emphasizes client reporting through custodial and third‑party portfolio tools and the selective use of outside managers for specific client mandates.
Client services
Financial planning
Portfolio management
Selection of other advisers
Expertise
Concentrated stock management
Fee options
Financial plan fee ranges from $3,000.00 to $10,000.00
1.50% annually
$400.00 per hour for follow-on work
Account minimum: $600,000.00 Fee-only: Fee-only investment management and financial planning; no commissions accepted
Main office location
Carty Financial, Inc.
Thousand Oaks CA, United States
Number of offices
1
Most active in
Carty Financial, Inc. has reported serving >5 clients in these states in the last 12 months.
California
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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