CARLSON INVESTMENTS
DL CARLSON INVESTMENT GROUP INC. Legal Name
Adviser information for CARLSON INVESTMENTS 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New Hampshire, United States |
Employees
| Total Number of Employees | 14 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 6 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 869 | $634.9M |
| Non-Discretionary | 0 | $0 |
| Total | 869 | $634.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 225 | $89.6M |
| HNW Individuals | 117 | $374.5M |
| 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 | 3 | $165.2M |
| Charitable organizations | 5 | $4.2M |
| 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 | 2 | $1.4M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Principal Office
TWO CAPITAL PLAZASUITE 404
CONCORD
NH
United States
Monday - Friday, 8:00 - 5:00
Tel: 603-224-5977, Fax: 603-226-2156
Websites
Chief Compliance Officer
JAMES MULLINS
CCO/PRESIDENT/DIRECTOR
TWO CAPITAL PLAZA
SUITE 404
CONCORD
NH
United States
Tel:
603-224-5977
Fax:
603-226-2156
J**@****************M
(Full email address available in API data)
Regulatory Contact
LENORE HIGGINS
OFFICE MANAGER
TWO CAPITAL PLAZA
SUITE 404
CONCORD
NH
United States
Tel:
603-224-5977
Fax:
603-226-2156
L*****@****************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, ROSAMOND, CHENOWITH | Individual | – | SHAREHOLDER | 03/2006 | 10-25% |
| CARLSON, DAVID, LITTLEFIELD | Individual | – | CHAIRMAN | 04/1989 | 10-25% |
| MULLINS, JAMES, ROGER | Individual | – | PRESIDENT/CCO | 09/2004 | 25-50% |
| MULLINS, JENNIFER, CARLSON | Individual | – | SECRETARY | 12/2004 | 10-25% |
| JOHNSRUD, JENNIFER, ANNE | Individual | – | PORTFOLIO MANAGER | 02/2017 | 5-10% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 14th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ABBOTT LABS | COM | 289K | 3K | 0 |
| ACCENTURE PLC IRELAND | SHS CLASS A | 804K | 3K | 0 |
| ADOBE INC | COM | 2M | 3K | 0 |
| ADVANCED MICRO DEVICES INC | COM | 6M | 34K | 0 |
| ALIBABA GROUP HLDG LTD | SPONSORED ADS | 3M | 47K | 0 |
| ALLIANT ENERGY CORP | COM | 225K | 4K | 0 |
| ALPHABET INC | CAP STK CL C | 1M | 7K | 0 |
| ALPHABET INC | CAP STK CL A | 18M | 101K | 0 |
| AMAZON COM INC | COM | 14M | 75K | 0 |
| AMGEN INC | COM | 4M | 11K | 0 |
| ANALOG DEVICES INC | COM | 340K | 1K | 0 |
| APPLE INC | COM | 22M | 106K | 0 |
| APPLIED MATLS INC | COM | 3M | 15K | 0 |
| ARES CAPITAL CORP | COM | 490K | 24K | 0 |
| BANK AMERICA CORP | COM | 530K | 13K | 0 |
| BANK NEW YORK MELLON CORP | COM | 2M | 41K | 0 |
| BANK OF NT BUTTERFIELD&SON L | SHS NEW | 402K | 11K | 0 |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 7M | 16K | 0 |
| BLACKSTONE INC | COM | 3M | 27K | 0 |
| BOEING CO | COM | 420K | 2K | 0 |
| BROWN & BROWN INC | COM | 4M | 41K | 0 |
| CANADIAN NATL RY CO | COM | 3M | 24K | 0 |
| CENTERPOINT ENERGY INC | COM | 2M | 49K | 0 |
| CHEVRON CORP NEW | COM | 536K | 3K | 0 |
| COLGATE PALMOLIVE CO | COM | 4M | 38K | 0 |
| COSTCO WHSL CORP NEW | COM | 235K | 277 | 0 |
| DEERE & CO | COM | 252K | 674 | 0 |
| DOMINOS PIZZA INC | COM | 4M | 7K | 0 |
| DOORDASH INC | CL A | 3M | 24K | 0 |
| DORIAN LPG LTD | SHS USD | 210K | 5K | 0 |
| DOW INC | COM | 2M | 36K | 0 |
| ELI LILLY & CO | COM | 6M | 6K | 0 |
| EQT CORP | COM | 4M | 95K | 0 |
| EXXON MOBIL CORP | COM | 5M | 43K | 0 |
| FASTENAL CO | COM | 4M | 57K | 0 |
| FISERV INC | COM | 5M | 35K | 0 |
| FREEPORT-MCMORAN INC | CL B | 4M | 88K | 0 |
| GE AEROSPACE | COM NEW | 4M | 28K | 0 |
| GE VERNOVA INC | COM | 3M | 17K | 0 |
| GOLDMAN SACHS GROUP INC | COM | 2M | 5K | 0 |
| HECLA MNG CO | COM | 104K | 22K | 0 |
| HEWLETT PACKARD ENTERPRISE C | COM | 9M | 421K | 0 |
| HOME DEPOT INC | COM | 3M | 9K | 0 |
| HONEYWELL INTL INC | COM | 4M | 18K | 0 |
| IAMGOLD CORP | COM | 51K | 14K | 0 |
| INGERSOLL RAND INC | COM | 4M | 45K | 0 |
| INTEL CORP | COM | 3M | 84K | 0 |
| INTERCONTINENTAL EXCHANGE IN | COM | 2M | 17K | 0 |
| INTUITIVE SURGICAL INC | COM NEW | 7M | 16K | 0 |
| INVESCO EXCH TRADED FD TR II | TAXABLE MUN BD | 2M | 86K | 0 |
| INVESCO EXCHANGE TRADED FD T | S&P500 EQL WGT | 796K | 5K | 0 |
| ISHARES INC | CORE MSCI EMKT | 3M | 59K | 0 |
| ISHARES TR | 0-5YR HI YL CP | 2M | 39K | 0 |
| ISHARES TR | FALN ANGLS USD | 2M | 80K | 0 |
| ISHARES TR | 0-5 YR TIPS ETF | 2M | 18K | 0 |
| ISHARES TR | FLTG RATE NT ETF | 2M | 37K | 0 |
| ISHARES TR | 10+ YR INVST GRD | 2M | 36K | 0 |
| ISHARES TR | PFD AND INCM SEC | 5M | 166K | 0 |
| ISHARES TR | 3 7 YR TREAS BD | 2M | 17K | 0 |
| ISHARES TR | NATIONAL MUN ETF | 4M | 41K | 0 |
| ISHARES TR | ISHS 5-10YR INVT | 1M | 27K | 0 |
| ISHARES TR | INTRM GOV CR ETF | 28M | 266K | 0 |
| ISHARES TR | ISHS 1-5YR INVS | 15M | 298K | 0 |
| ISHARES TR | 10-20 YR TRS ETF | 706K | 7K | 0 |
| ISHARES TR | CORE US AGGBD ET | 3M | 33K | 0 |
| ISHARES TR | 1 3 YR TREAS BD | 2M | 25K | 0 |
| ISHARES TR | CORE S&P SCP ETF | 261K | 2K | 0 |
| ISHARES TR | CORE S&P500 ETF | 667K | 1K | 0 |
| ISHARES TR | RUSSELL 2000 ETF | 2M | 8K | 0 |
| ISHARES TR | MSCI EAFE ETF | 9M | 116K | 0 |
| ISHARES TR | US HLTHCARE ETF | 643K | 11K | 0 |
| ISHARES TR | US INDUSTRIALS | 1M | 12K | 0 |
| ISHARES TR | U.S. TECH ETF | 580K | 4K | 0 |
| J P MORGAN EXCHANGE TRADED F | ULTRA SHRT INC | 4M | 75K | 0 |
| J P MORGAN EXCHANGE TRADED F | ULTRA SHT MUNCPL | 6M | 112K | 0 |
| JOHNSON & JOHNSON | COM | 5M | 36K | 0 |
| JONES LANG LASALLE INC | COM | 2M | 8K | 0 |
| JPMORGAN CHASE & CO. | COM | 9M | 46K | 0 |
| KENVUE INC | COM | 4M | 211K | 0 |
| KRAFT HEINZ CO | COM | 1M | 37K | 0 |
| LAIRD SUPERFOOD INC | COM STK | 56K | 10K | 0 |
| LIVANOVA PLC | SHS | 3M | 50K | 0 |
| MCDONALDS CORP | COM | 615K | 2K | 0 |
| META PLATFORMS INC | CL A | 8M | 15K | 0 |
| MICROSOFT CORP | COM | 25M | 57K | 0 |
| MORGAN STANLEY | COM NEW | 2M | 24K | 0 |
| NETFLIX INC | COM | 4M | 6K | 0 |
| NEXTERA ENERGY INC | COM | 2M | 26K | 0 |
| NOVO-NORDISK A S | ADR | 331K | 2K | 0 |
| NUCOR CORP | COM | 853K | 5K | 0 |
| NUTRIEN LTD | COM | 2M | 47K | 0 |
| NVIDIA CORPORATION | COM | 14M | 116K | 0 |
| OCCIDENTAL PETE CORP | COM | 2M | 30K | 0 |
| OLD DOMINION FREIGHT LINE IN | COM | 329K | 2K | 0 |
| OSCAR HEALTH INC | CL A | 3M | 188K | 0 |
| OTIS WORLDWIDE CORP | COM | 3M | 31K | 0 |
| PALANTIR TECHNOLOGIES INC | CL A | 3M | 118K | 0 |
| PEPSICO INC | COM | 553K | 3K | 0 |
| POST HLDGS INC | COM | 4M | 35K | 0 |
| PROCTER AND GAMBLE CO | COM | 5M | 30K | 0 |
| REDDIT INC | CL A | 4M | 67K | 0 |
| REPLIGEN CORP | COM | 774K | 6K | 0 |
| RTX CORPORATION | COM | 6M | 63K | 0 |
| SALESFORCE INC | COM | 4M | 17K | 0 |
| SCHWAB CHARLES CORP | COM | 3M | 47K | 0 |
| SCHWAB STRATEGIC TR | US BRD MKT ETF | 52M | 834K | 0 |
| SCHWAB STRATEGIC TR | US LCAP GR ETF | 517K | 5K | 0 |
| SCHWAB STRATEGIC TR | US AGGREGATE B | 783K | 17K | 0 |
| SCHWAB STRATEGIC TR | US DIVIDEND EQ | 303K | 4K | 0 |
| SELECT SECTOR SPDR TR | RL EST SEL SEC | 213K | 6K | 0 |
| SELECT SECTOR SPDR TR | SBI MATERIALS | 852K | 10K | 0 |
| SELECT SECTOR SPDR TR | ENERGY | 11M | 119K | 0 |
| SELECT SECTOR SPDR TR | FINANCIAL | 1M | 28K | 0 |
| SELECT SECTOR SPDR TR | INDL | 505K | 4K | 0 |
| SELECT SECTOR SPDR TR | TECHNOLOGY | 1M | 4K | 0 |
| SELECT SECTOR SPDR TR | SBI CONS STPLS | 1M | 15K | 0 |
| SELECT SECTOR SPDR TR | SBI INT-UTILS | 3M | 41K | 0 |
| SOUTHERN CO | COM | 2M | 23K | 0 |
| SPDR DOW JONES INDL AVERAGE | UT SER 1 | 629K | 2K | 0 |
| SPDR GOLD TR | GOLD SHS | 1M | 5K | 0 |
| SPDR S&P 500 ETF TR | TR UNIT | 3M | 6K | 0 |
| SPDR SER TR | S&P OILGAS EXP | 816K | 6K | 0 |
| STARBUCKS CORP | COM | 268K | 3K | 0 |
| STRYKER CORPORATION | COM | 4M | 11K | 0 |
| TARGET CORP | COM | 553K | 4K | 0 |
| TERRENO RLTY CORP | COM | 2M | 37K | 0 |
| TEXAS INSTRS INC | COM | 5M | 26K | 0 |
| THE CIGNA GROUP | COM | 3M | 9K | 0 |
| UNION PAC CORP | COM | 434K | 2K | 0 |
| UNITEDHEALTH GROUP INC | COM | 6M | 11K | 0 |
| VISA INC | COM CL A | 209K | 797 | 0 |
| WASTE MGMT INC DEL | COM | 275K | 1K | 0 |
| WEC ENERGY GROUP INC | COM | 236K | 3K | 0 |
| WELLS FARGO CO NEW | COM | 3M | 51K | 0 |
| WELLTOWER INC | COM | 4M | 35K | 0 |
| WINGSTOP INC | COM | 4M | 10K | 0 |
| WOLFSPEED INC | COM | 518K | 23K | 0 |