CARNEGIE WEALTH MANAGEMENT LLC

· CRD 329747 · IAPD ↗ · 818-679-2724

$41.5MRegulatory AUM

2Advisory reps

3Employees

0Clients

0Planning clients

0Private funds

1States

2Disclosures

wealthSegment

120-Day ApprovalSEC status

Filing changes

January 2025 — CARNEGIE WEALTH MANAGEMENT LLC (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $41.5M RAUM, 2 reps).

Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.

Recruiting & transitionsM&A & valuation

March 2024 — CARNEGIE WEALTH MANAGEMENT LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps.

Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).

CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.