{"url":"https://nivawealth.com/firms/carlson-and-company-financial-services-295907","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/295907","regulatoryAum":632192164,"crd":"295907","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"8085241","suffix":null,"lastName":"BRITT","firstName":"JOSEPH","middleName":"DUPREE"},{"crd":"4126199","suffix":null,"lastName":"BROBST","firstName":"JONATHAN","middleName":"PAUL"},{"crd":"6952797","suffix":null,"lastName":"CARLSON","firstName":"ANNA","middleName":"L"},{"crd":"5802320","suffix":null,"lastName":"CARLSON","firstName":"CARL","middleName":"R"},{"crd":"8334909","suffix":null,"lastName":"DUDA","firstName":"PARKER","middleName":"TATE"},{"crd":"8004690","suffix":null,"lastName":"GALLAGHER","firstName":"IAN","middleName":"MICHAEL"},{"crd":"7645917","suffix":null,"lastName":"HAMMERSLEY","firstName":"ALEXANDER","middleName":"MATTHEW BRADSHAW"},{"crd":"8335716","suffix":null,"lastName":"HUSKISSON","firstName":"REAGAN","middleName":"MARY"},{"crd":"8098654","suffix":null,"lastName":"MERRIMAN","firstName":"DANIEL","middleName":"MICHAEL"},{"crd":"8004680","suffix":null,"lastName":"MISTRETTA","firstName":"JORDAN","middleName":"PETER"},{"crd":"6849060","suffix":null,"lastName":"MOYLAN","firstName":"DANIEL","middleName":"EUGENE"},{"crd":"7215448","suffix":null,"lastName":"ORZOLEK","firstName":"SUSANNAH","middleName":"AMELIA"},{"crd":"5810068","suffix":null,"lastName":"WALDRON","firstName":"MARISSA","middleName":"KAY"},{"crd":"5613035","suffix":null,"lastName":"Williams","firstName":"Jacob","middleName":"Donald"}],"total":14,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-31","regulatoryAum":271947924,"clients":830,"employees":22,"offices":5},{"filedOn":"2022-03-31","regulatoryAum":364265980,"clients":915,"employees":29,"offices":6},{"filedOn":"2023-03-31","regulatoryAum":342403578,"clients":993,"employees":27,"offices":6},{"filedOn":"2024-03-28","regulatoryAum":508574924,"clients":1020,"employees":27,"offices":5},{"filedOn":"2025-04-30","regulatoryAum":546695880,"clients":1060,"employees":27,"offices":5},{"filedOn":"2026-03-31","regulatoryAum":632192164,"clients":1097,"employees":29,"offices":5}],"secFileNumber":"801-113595","legalName":"Carlson & Company Financial Services, LLC","displayName":"Carlson & Company Financial Services","slug":"carlson-and-company-financial-services-295907","website":"https://carlsonfinancial.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"http://linkedin.com/company/carlson-financial","founded":null,"organization":"Kansas limited liability company","fiscalYearEnd":"December","headquarters":{"street":"1201 SW Oakley Avenue","city":"Topeka","state":"KS","stateName":"Kansas","country":"United States","postalCode":"66604"},"tradeNames":[],"registration":{"secApproved":"12 July 2018","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":576291.8541476754,"staff":{"employees":29,"advisory":10,"brokerDealerReps":0,"insuranceAgents":8,"promoters":0},"aum":{"regulatory":632192164,"discretionary":632192164,"discretionaryAccounts":1097,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":924,"regulatoryAum":366671455},{"label":"High-net-worth individuals","clients":173,"regulatoryAum":265520709}],"feePrograms":[{"role":"main","program":"Asset-based annual advisory fee","feeBasis":"ceiling","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1037906","versionId":1037906,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-03-31","documentName":"CARLSON FINANCIAL - FORM ADV PART 2A - MARCH.31.2026","fee_rate_low":null,"fee_rate_high":3,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Flat annual advisory fee","summary":"A flat annual fee for advisory services, not exceeding $250,000, that the firm may assess for ultra high-net-worth clients on request; negotiated by size and scope.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1037906","versionId":1037906,"submittedOn":"2026-03-31","documentName":"CARLSON FINANCIAL - FORM ADV PART 2A - MARCH.31.2026"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T07:30:37.412238+00:00","documents":[{"name":"CARLSON FINANCIAL - FORM ADV PART 2A - MARCH.31.2026","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1037906","versionId":1037906,"submittedOn":"2026-03-31"}]},"custodians":[{"name":"Fidelity Distributors Company LLC","shortName":"Fidelity","location":"Smithfield, RI","smaAssets":632192164}],"custodyNote":"Carlson & Company Financial Services does not have custody of client assets.","leadership":[{"name":"Carl Carlson","title":"Chief Executive Officer","crd":"5802320"},{"name":"Theresa Muller","title":"Chief Compliance Officer","crd":"5853117"},{"name":"Daniel Moylan","title":"Chief","crd":"6849060"},{"name":"Susannah Orzolek","title":"Chief Operations Officer","crd":"7215448"}],"ownership":[{"label":"Carlson Financial Holdings","detail":"Owner in the 75% or more ownership band and a control person, since February 2024."},{"label":"Carl Carlson","detail":"Indirect owner: a managing member of Carlson Financial Holdings in the 75% or more band and a control person, since February 2024.","parent":"Carlson Financial Holdings"}],"filedOffices":{"otherThanPrincipal":4,"privateResidences":0},"listedOfficeAddresses":5,"foreignOffices":[],"officesByState":[{"state":"Colorado","offices":1,"addresses":[{"street":"1155 Kelly Johnson BLVD","city":"Colorado Springs"}]},{"state":"Kansas","offices":2,"addresses":[{"street":"1201 SW Oakley Avenue","city":"Topeka","headquarters":true},{"street":"6240 West 135th Street","city":"Overland Park"}]},{"state":"Virginia","offices":2,"addresses":[{"street":"4216 Virginia Beach BLVD","city":"Virginia Beach"},{"street":"5207 Hickory Park Drive","city":"Glen Allen"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"844-227-5766","stateRegisteredReps":10,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Other"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"1000","assetMix":[{"label":"Exchange-traded equity securities","percent":66},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":26},{"label":"Cash and cash equivalents","percent":7}],"privateFunds":0},"sources":{"adv1FilingDate":"31 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/295907/PDF/295907.pdf","brochureDate":"31 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1037906","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Carlson & Company Financial Services have?","answer":"Carlson & Company Financial Services has 1,097 clients and manages $632 million for them, as of March 2026. They include 924 individual clients and 173 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Carlson & Company Financial Services offer?","answer":"Carlson & Company Financial Services provides financial planning and portfolio management for individuals and small businesses.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Carlson & Company Financial Services charge?","answer":"Carlson & Company Financial Services charges up to 3.00% a year for its Asset-based annual advisory fee. The fee is billed in arrears and is negotiable.","source":"CARLSON FINANCIAL - FORM ADV PART 2A - MARCH.31.2026, filed 31 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Carlson & Company Financial Services use?","answer":"Carlson & Company Financial Services’ separately managed account assets are held at Fidelity Distributors Company LLC (Smithfield, RI), with $632M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Carlson & Company Financial Services have?","answer":"Carlson & Company Financial Services has 10 investment adviser representatives registered with state securities authorities, out of 29 employees, and 10 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 8 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Carlson & Company Financial Services invest in?","answer":"At the end of its last fiscal year, Carlson & Company Financial Services’ separately managed accounts held 66% exchange-traded equities, 26% registered funds (mutual funds, ETFs, BDCs), 7% cash and equivalents and 1% investment grade corporate bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Carlson & Company Financial Services?","answer":"Carlson & Company Financial Services is owned through a holding company by Carl Carlson. Its direct owner is Carlson Financial Holdings (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Carlson & Company Financial Services get paid?","answer":"Carlson & Company Financial Services is paid through a percentage of assets under management and other compensation. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Carlson & Company Financial Services registered with the SEC?","answer":"Yes, Carlson & Company Financial Services has been registered with the SEC as an investment adviser since 12 July 2018. Its CRD number is 295907 and its SEC file number is 801-113595.","source":"Form ADV Part 1A, Item 1, filed 31 March 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Carlson & Company Financial Services?","answer":"Carlson & Company Financial Services’ main office is at 1201 SW Oakley Avenue, Topeka, KS 66604. Its phone number is 844-227-5766. Its website is carlsonfinancial.com.","source":"Form ADV Part 1A, Item 1.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}