# Carty Financial, Inc.

> Carty Financial, Inc. is a state-registered investment advisory firm in Camarillo, CA, registered since 2007, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 2, 2026.

- CRD: 144564
- Filed as: CARTY FINANCIAL, INC.
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Camarillo, CA
- Filing period: October 2026
- Form ADV filing dated: March 2, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/144564
- AdvisorCensus page: https://advisorcensus.com/firm/carty-financial-inc-camarillo-ca-144564

## Quick answers

**How is Carty Financial, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Carty Financial, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**Where is Carty Financial, Inc. located?**
Carty Financial, Inc.'s principal office is in Camarillo, CA, according to its Form ADV.

**Is Carty Financial, Inc. registered with the SEC or a state?**
Carty Financial, Inc. is a state-registered investment advisory firm, registered since 2007. Status as filed: APPROVED. CRD 144564.

**How much does Carty Financial, Inc. manage?**
Carty Financial, Inc. reports $40,220,000 in regulatory assets under management in its Form ADV filing dated March 2, 2026 (0% discretionary).

**What types of clients does Carty Financial, Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (34); high net worth individuals (21); pension and profit sharing plans (but not the plan participants or government pension plans) (2).

**Does Carty Financial, Inc. report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/144564

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Regulatory assets under management (Item 5.F)
- Total: $40,220,000
- Discretionary: $0
- Non-discretionary: $40,220,000

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 34 | $7,000,000 |
| High net worth individuals | 21 | $33,000,000 |
| Banking or thrift institutions | 0 | Not reported |
| Investment companies | 0 | Not reported |
| Business development companies | 0 | Not reported |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | Not reported |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 2 | $220,000 |
| Charitable organizations | 0 | Not reported |
| State or municipal government entities (including government pension plans) | 0 | Not reported |
| Other investment advisers | 0 | Not reported |
| Insurance companies | 0 | Not reported |
| Sovereign wealth funds and foreign official institutions | 0 | Not reported |
| Corporations or other businesses not listed above | 0 | Not reported |
| Other | 0 | Not reported |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2007 (19 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- cartyfinancial.com

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Carty Financial, Inc. (CRD 144564): Form ADV filing data as of October 2026.