{ "crd_number": 329747, "slug": "carnegie-wealth-management-llc-329747", "primary_business_name": "CARNEGIE WEALTH MANAGEMENT LLC", "legal_name": "CARNEGIE WEALTH MANAGEMENT LLC", "dbas": [], "city": null, "state": null, "country": null, "cbsa_code": null, "metro": null, "registration_type": "state", "registration_status": "APPROVED", "registration_date": "2024-12-24", "years_registered": 1, "period": "2026-10-01", "filing_date": "2026-04-27", "carried_forward": false, "raum_total": 65000000.0, "raum_discretionary": 0.0, "raum_non_discretionary": 65000000.0, "raum_band": "25m_100m", "raum_band_label": "$25 million to $100 million", "total_employees": 2, "advisory_employees": 2, "client_count_bucket": null, "clients_by_type": { "individuals": { "raum": 50000000.0, "count": 140 }, "high_net_worth_individuals": { "raum": 15000000.0, "count": 10 } }, "compensation_types": [ "fixed", "percentage_of_aum" ], "advisory_activities": [ "portfolio_management_businesses_institutional", "portfolio_management_individuals" ], "wrap_fee_participant": false, "disclosure_yes_count": 2, "states_registered": [ "CA" ], "websites": [], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/329747", "listing_state": "CA", "disclosure_items": [ { "item": "11.E(2)", "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?" }, { "item": "11.E(4)", "question": "Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?" } ], "city_as_filed": null, "url": "https://advisorcensus.com/firm/carnegie-wealth-management-llc-329747", "display_name": "Carnegie Wealth Management LLC", "summary": "Carnegie Wealth Management LLC is a state-registered investment advisory firm, registered since 2024, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated April 27, 2026.", "citation": "AdvisorCensus. Carnegie Wealth Management LLC (CRD 329747): Form ADV filing data as of October 2026.", "registration_type_label": "State-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Portfolio management for individuals and/or small businesses", "Portfolio management for businesses (other than small businesses) or institutional clients" ], "quick_answers": [ { "q": "How is Carnegie Wealth Management LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Carnegie Wealth Management LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Is Carnegie Wealth Management LLC registered with the SEC or a state?", "a": "Carnegie Wealth Management LLC is a state-registered investment advisory firm, registered since 2024. Status as filed: APPROVED. CRD 329747." }, { "q": "How much does Carnegie Wealth Management LLC manage?", "a": "Carnegie Wealth Management LLC reports $65,000,000 in regulatory assets under management in its Form ADV filing dated April 27, 2026 (0% discretionary)." }, { "q": "How have Carnegie Wealth Management LLC's assets and staff changed since 2024?", "a": "In the Form ADV data for Carnegie Wealth Management LLC: Regulatory assets under management: $41,500,000 in the October 2024 data and $65,000,000 in the October 2026 data, up 57%. Total employees: 3 in October 2024 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Carnegie Wealth Management LLC serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (140); high net worth individuals (10)." }, { "q": "Does Carnegie Wealth Management LLC report any disciplinary disclosures?", "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.E(2) (self-regulatory organization's finding of a rule violation) and 11.E(4) (self-regulatory organization's expulsion, suspension, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/329747" } ], "filing_history": [ { "period": "2024-10-01", "regulatory_assets_under_management": 41500000.0, "total_employees": 3, "filing_date": "2024-09-20" }, { "period": "2026-10-01", "regulatory_assets_under_management": 65000000.0, "total_employees": 2, "filing_date": "2026-04-27" } ], "recent_changes": [], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/carnegie-wealth-management-llc-329747.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 140, "fewer_than_5": false, "raum": 50000000.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 10, "fewer_than_5": false, "raum": 15000000.0 } ], "disclosure_line": "Reports 2 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/329747", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }