Carlson & Company Financial Services, Llc
- Regulatory AUM
- $632M
- Discretionary
- $632M
- Clients
- 1,097
- Avg AUM / client
- $576K
- Accounts
- 1,097
- Employees
- 29
AUM over time
Annual snapshots from Form ADV filings · as of Mar 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 924 | $367M | 58.0% |
| High net worth individuals | 173 | $266M | 42.0% |
People (11)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Carl R Carlson | Chief Executive Officer | Apr 2018 (8y) | 75% or more | |
| Daniel Eugene Moylan | Chief Investment Officer | Apr 2018 (8y) | Less than 5% | |
| Muller, Theresa, Ann | Chief Compliance Officer | Dec 2018 (8y) | Less than 5% | |
| Anna L Carlson | Registered representative | Jan 2022 (5y) | ||
| Susannah Amelia Orzolek | Registered representative | Jan 2022 (5y) | ||
| Jacob Donald Williams | Registered representative | Mar 2022 (4y) | ||
| Alexander Matthew Bradshaw Hammersley | Registered representative | Oct 2022 (4y) | ||
| Jonathan Paul Brobst | Registered representative | Oct 2024 (2y) | ||
| Jordan Peter Mistretta | Registered representative | Nov 2024 (2y) | ||
| Marissa Kay Waldron | Registered representative | CFP | Mar 2025 (1y) | |
| Ian Michael Gallagher | Registered representative | Mar 2026 (0y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 1000 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Other fees
- • COMMISSIONS ON INSURANCE PRODUCT SALES
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Fidelity Distributors Company Llc $632M (100% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 31, 2026.
View current Form ADV (SEC/IAPD) ↗