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Carpenter, Richard Kevin (Utica)


Carpenter, Richard Kevin is a large advisory firm based in Utica. It manages $26.31 million of regulatory assets for 86 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdictions of Florida and New York.

Carpenter, Richard Kevin provides financial planning services and portfolio management for individuals and small businesses. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Carpenter, Richard Kevin: assets under management

The assets under management (AUM) of Carpenter, Richard Kevin is $26.31 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -4% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $26.31 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $305.93 thousand each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Carpenter, Richard Kevin for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and commissions. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Based in Utica

The principal office where Carpenter, Richard Kevin performs its advisory services is located at 2508 Genesee Street, Utica, NY 13502, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 315-733-1010 or by fax 315-733-3114. The normal business hours are 9am to 5pm on Monday - Friday.


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