Investment adviser · CRD 131445

CARRET ASSET MANAGEMENT, LLC

Investment adviser filing (IA)

NEW YORK, NY, United States · Form ADV filed Jun 10, 2026

Regulatory AUM: $3.46B
Client accounts: 2,633
Employees: 22
Advisory professionals: 10

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Other investment advisers	1,357	$1,641,361,295	47.4%
High-net-worth individuals	367	$1,207,046,842	34.9%
Individuals	854	$228,681,443	6.6%
Corporations & businesses	39	$224,623,937	6.5%
Investment companies	1	$128,770,267	3.7%
Retirement plans	15	$29,316,056	0.8%

Filing source

Form ADV 2107076 · Jun 10, 2026 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

1 Private fund

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

CARRET GLOBAL FUND LDCOther Private Fund · Last reported Jul 11, 2013$13.5MGross asset value

Fund administrator CAYMAN NATIONAL FUND SERVICES GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor BDO GRAND CAYMAN, Cayman Islands

Custodian RBC ADVISORY SERVICES NEW YORK, New York, United States Related to adviser: No

Marketer CASCADE FINANCIAL MANAGEMENT, INC. DENVER, Colorado, United States Related to adviser: No

Marketer GUARDIAN INVESTMENTS QUEENSLAND, Australia Related to adviser: No

Prime broker RBC ADVISORY SERVICES NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

CASCADE FINANCIAL MANAGEMENT, INC.
CRD 119030 · SEC 801-64346

Fund details & source

Fund ID: 805-2481510108
Reported beneficial owners: 28
Minimum commitment: $100K

Form ADV 746629 · Jul 11, 2013 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Jun 10, 2026. View historical filings

Reported services

Individual portfolio management · Investment company portfolio management · Business portfolio management

Compensation

Percentage of assets · Performance-based

Principal office

360 MADISON AVENUE, 20TH FLOOR
NEW YORK, NY, 10017, United States

CRD 131445

Filing source

Form ADV 2107076 · Jun 10, 2026 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.