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CARLSON FINANCIAL
Legal name: CARLSON & COMPANY FINANCIAL SERVICES, LLC
CRD 295907File 801-113595
APPROVED
Retail clients
Filing as of Mar 31, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$632.2M
Above cohort median (national)
Discretionary AUM
$632.2M
Clients
1,097
1,097 accounts
Employees
29
Above cohort median in KS
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- DRO
- Registration date
- Jul 12, 2018
- Principal office
- 1201 SW OAKLEY AVENUE, TOPEKA, KS, 66604
- Phone
- (844) 227-5766
- Website
- HTTPS://CARLSONOFFERS.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $632.2M
- Discretionary AUM
- $632.2M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 1,097
- Non-discretionary accounts
- 0
- Total accounts
- 1,097
- AUM per client
- $576K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 173 | $265.5M |
| Individuals (other than high net worth individuals) | 924 | $366.7M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Other (described) — COMMISSIONS ON INSURANCE PRODUCT SALES
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 27 | 29 | increased by2 |
| Apr 1, 2026 | Clients | 1,060 | 1,097 | increased by37 |
| Apr 1, 2026 | AUM | $546,695,880 | $632,192,164 | increased by$85,496,284 |
| Apr 1, 2026 | Accounts | 3,315 | 1,097 | decreased by2,218 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 29 | 27 | decreased by2 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 915 | 1,060 | increased by145 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $364,265,980 | $546,695,880 | increased by$182,429,900 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 2,541 | 3,315 | increased by774 |
| Apr 1, 2022 | Employees | 22 | 29 | increased by7 |
| Apr 1, 2022 | Clients | 830 | 915 | increased by85 |
| Apr 1, 2022 | AUM | $271,947,924 | $364,265,980 | increased by$92,318,056 |
| Apr 1, 2022 | Accounts | 3,767 | 2,541 | decreased by1,226 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “CARLSON FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“CARLSON FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.