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CARNEGIE LAKE ADVISORS LLC

PRINCETON, NJ · CRD 330024 · IAPD ↗ · carnegielakeadvisorsllc.com · 609-955-3667

$403.0MRegulatory AUM
7Advisory reps
7Employees
4Clients
n/aPlanning clients
0Private funds
7States
1Disclosures
wealthSegment
ApprovedSEC status

Filing changes

47
April 2026 — CARNEGIE LAKE ADVISORS LLC notice-filed in CA, WA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
68
April 2025 — CARNEGIE LAKE ADVISORS LLC now reports custody of client assets ($70.1M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
70
April 2025 — CARNEGIE LAKE ADVISORS LLC grew from 5 to 7 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
53
August 2024 — CARNEGIE LAKE ADVISORS LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
73
August 2024 — CARNEGIE LAKE ADVISORS LLC's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
95
April 2024 — CARNEGIE LAKE ADVISORS LLC (PRINCETON, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 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.