CARLSON FINANCIAL
CARLSON & COMPANY FINANCIAL SERVICES, LLC Legal Name
Adviser information for CARLSON FINANCIAL last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Kansas, United States |
Employees
| Total Number of Employees | 27 |
|---|---|
| Investment Advisory/Research | 15 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 10 |
| Licensed Agents of an Insurance Company | 10 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,779 | $508.6M |
| Non-Discretionary | 0 | $0 |
| Total | 2,779 | $508.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 898 | $319.5M |
| HNW Individuals | 119 | $185.8M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 3 | $3.3M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1000 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMCOMMISSIONS ON INSURANCE PRODUCT SALES |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-113595 |
|---|---|
| SEC ERA File Number | 801-113595 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 295907 |
| Legal Entity Identifier | None |
Principal Office
1201 SW OAKLEY AVENUETOPEKA
KS
United States
Monday - Friday, 8:00AM TO 5:00PM
Tel: (844) 227-5766, Fax: None
Chief Compliance Officer
THERESA MULLER
COMPLIANCE CONSULTANT
5207 HICKORY PARK DRIVE
SUITE E
GLEN ALLEN
VA
United States
Tel:
(540) 872.8964
T******@*******************M
(Full email address available in API data)
Regulatory Contact
SUSANNAH ORZOLEK
COO
5207 HICKORY PARK DRIVE
SUITE E
GLEN ALLEN
VA
United States
Tel:
(844) 227-5766
S*******@*******************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CARLSON, CARL, R | Individual | – | CHIEF EXECUTIVE OFFICER | 04/2018 | > 75% |
| MOYLAN, DANIEL, EUGENE | Individual | – | CHIEF INVESTMENT OFFICER | 04/2018 | < 5% |
| MULLER, THERESA, ANN | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2018 | < 5% |