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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 Aug 17, 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
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 |
|---|---|---|---|
| Aug 12, 2026 | Registration | — | APPROVED |
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.