{"url":"https://nivawealth.com/firms/adell-harriman-and-carpenter-107488","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/107488","regulatoryAum":2087058406,"crd":"107488","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2115641","suffix":null,"lastName":"ADELL","firstName":"STEPHEN","middleName":"DECATUR"},{"crd":"2655283","suffix":null,"lastName":"BARRON","firstName":"JENNIFER","middleName":"LYNN"},{"crd":"6873732","suffix":null,"lastName":"BERRY","firstName":"MARCUS","middleName":"WILSON"},{"crd":"1551527","suffix":null,"lastName":"CARPENTER","firstName":"LEIA","middleName":"POWELL"},{"crd":"6426424","suffix":"II","lastName":"DARBY","firstName":"JAMES","middleName":"PATRICK"},{"crd":"2534073","suffix":null,"lastName":"JOHNSON","firstName":"SCOT","middleName":"WALLACE"}],"total":6,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-07-21","regulatoryAum":1032403916,"clients":776,"employees":11,"offices":1},{"filedOn":"2022-03-28","regulatoryAum":1259593077,"clients":706,"employees":11,"offices":1},{"filedOn":"2023-03-27","regulatoryAum":1096325075,"clients":834,"employees":10,"offices":1},{"filedOn":"2024-03-28","regulatoryAum":1332289328,"clients":723,"employees":11,"offices":1},{"filedOn":"2025-03-28","regulatoryAum":1756064467,"clients":781,"employees":11,"offices":1},{"filedOn":"2026-08-27","regulatoryAum":2087058406,"clients":819,"employees":13,"offices":1}],"secFileNumber":"801-50660","legalName":"Adell Harriman & Carpenter Inc","displayName":"Adell Harriman & Carpenter","slug":"adell-harriman-and-carpenter-107488","website":"https://ahcinvest.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/107488/014840c6eebf00ba-r1.webp","tone":"light","width":629,"height":200,"sourceUrl":"https://ahcinvest.com/","sourceLabel":"Adell Harriman & Carpenter, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/adell-harriman-&-carpenter-inc./about/","founded":"1995","organization":"Texas corporation","fiscalYearEnd":"December","headquarters":{"street":"2700 Post Oak BLVD, Ste 1200","city":"Houston","state":"TX","stateName":"Texas","country":"United States","postalCode":"77056"},"tradeNames":["Adell, Harriman & Carpenter, Inc. 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They include 524 high-net-worth individuals, 240 individual clients, and 24 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 27 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Adell Harriman & Carpenter offer?","answer":"Adell Harriman & Carpenter provides financial planning, portfolio management for individuals and small businesses, education planning, estate planning, insurance, philanthropic planning, and tax planning.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Adell Harriman & Carpenter charge?","answer":"Adell Harriman & Carpenter charges 0.50%–1.00% a year for its Annual investment management fee. The fee is billed in arrears and has a $2,500 annual minimum.","source":"ADELL HARRIMAN ADV PART 2A, filed 27 August 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Adell Harriman & Carpenter use?","answer":"Adell Harriman & Carpenter’s separately managed account assets are held at National Financial Services LLC (Boston, MA), with $2.07B. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 27 August 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Adell Harriman & Carpenter have?","answer":"Adell Harriman & Carpenter has 5 investment adviser representatives registered with state securities authorities, out of 13 employees, and 5 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Adell Harriman & Carpenter invest in?","answer":"At the end of its last fiscal year, Adell Harriman & Carpenter’s separately managed accounts held 83% exchange-traded equities, 8% registered funds (mutual funds, ETFs, BDCs), 4% investment grade corporate bonds, 2% U.S. government and agency bonds, 2% state and local bonds and 1% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Adell Harriman & Carpenter?","answer":"Adell Harriman & Carpenter’s direct owners are Leia Carpenter, Stephen Adell, Marcus Berry, Scot Johnson and Jennifer Barron, each holding 25% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 27 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Adell Harriman & Carpenter get paid?","answer":"Adell Harriman & Carpenter is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Adell Harriman & Carpenter registered with the SEC?","answer":"Yes, Adell Harriman & Carpenter has been registered with the SEC as an investment adviser since 29 November 1995. Its CRD number is 107488 and its SEC file number is 801-50660.","source":"Form ADV Part 1A, Item 1, filed 27 August 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Adell Harriman & Carpenter?","answer":"Adell Harriman & Carpenter’s main office is at 2700 Post Oak BLVD, Ste 1200, Houston, TX 77056. Its phone number is 713-621-1155. 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