Carl G. Lind

ALPHA OMEGA WEALTH MANAGEMENT

STAUNTON, VA 24401

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CRD#: 2825868

Professional summary

Carl Garrett Lind, CFP®, who also goes by Carl Lind, is a registered financial advisor currently at ALPHA OMEGA WEALTH MANAGEMENT, LLC located in Staunton, Virginia.

Carl is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Carl has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carl Lind

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl Garrett Lind's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Current

November 2, 2016 - Present

ALPHA OMEGA WEALTH MANAGEMENT, LLC

Office #1: 2815 North Augusta Street Suite A, Staunton, VA 24401

RIA

CRD#: 149842

STAUNTON, VA

Past

May 30, 2014 - November 2, 2016

DIVELEY LIND & ASSOCIATES LLC

RIA

CRD#: 109162

MT. SIDNEY, VA

Past

May 8, 1997 - October 18, 2012

DIVELEY LIND & ASSOCIATES LLC

RIA

CRD#: 109162

MT. SIDNEY, VA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ALPHA OMEGA WEALTH MANAGEMENT, LLC

ALPHA OMEGA INVESTMENT ADVISORS | GLEN ALLEN DESIGNS, LLC | ALPHA OMEGA WEALTH MANAGEMENT, LLC

CRD#: 149842 / SEC#: 801-70136

RIA

Registered Investment Advisory firm - (4/21/2009 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Virginia
(11/2/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/1/1996

Uniform Investment Adviser Law Examination

Current Firm

ALPHA OMEGA WEALTH MANAGEMENT, LLC

ALPHA OMEGA INVESTMENT ADVISORS | GLEN ALLEN DESIGNS, LLC | ALPHA OMEGA WEALTH MANAGEMENT, LLC

CRD#: 149842 / SEC#: 801-70136

RIA

Registered Investment Advisory firm - (4/21/2009 Approved)

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Contact information

Main Address

7202 Glen Forest Drive Suite 300, Richmond, VA 23226

Mailing Address

Phone number

(804) 955-1600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2B (3/26/2025)

ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	1,282
AUM (Assets Under Management)	$ 905,828,765

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
05/08/2025	Cover Page	Report
07/29/2024	Cover Page	Report
07/31/2023	Cover Page	Report
12/28/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Carl G. Lind

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl Garrett Lind's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPHA OMEGA WEALTH MANAGEMENT, LLC

DIVELEY LIND & ASSOCIATES LLC

DIVELEY LIND & ASSOCIATES LLC

Primary Firm SEC Registration

ALPHA OMEGA WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/1/1996

Current Firm

ALPHA OMEGA WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ALPHA OMEGA WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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