DFX Intelligence

Data Factory

RIA / WealthAdvisor25 years in industry

HEATHER M CARLSON

Advisor at THE RETIREMENT SOLUTION LLC

REDMOND, WA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:205dc401-2ddd-3295-36de-7240c8152f96

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jun 20, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: THE RETIREMENT SOLUTION LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 1, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jun 14, 2002
First registration: Jun 20, 2002
Dual registered: no
Other names: HEATHER MICHELLE CARLSON|HEATHER CARLSON|HEATHER MICHELLE CARLSON
IAPD individual key: 4359310

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
THE RETIREMENT SOLUTION LLC	Independent wealth	Nov 6, 2023	n/a	yes	REDMOND, WA	Current employment
B3 WEALTH STRATEGIES	Independent wealth	Jul 2, 2019	Oct 12, 2023	no	BELLEVUE, WA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Nov 10, 2017	Dec 31, 2019	no	BELLEVUE, WA\|BELLEVUE, WA\|BELLEVUE, WA\|OLYMPIA, WA	Previous registration
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT	Former SEC adviser	Nov 14, 2016	Oct 17, 2019	no	Bellevue, WA\|OLYMPIA, WA	Previous registration
WADDELL & REED	Former SEC adviser	Jun 20, 2002	Nov 9, 2016	no	BELLEVUE, WA\|SEATTLE, WA\|BELLEVUE, WA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
B3 WEALTH STRATEGIES	THE RETIREMENT SOLUTION LLC	Oct 12, 2023	Nov 6, 2023	25	Firm change	RIA to RIA
LPL FINANCIAL LLC	B3 WEALTH STRATEGIES	Dec 31, 2019	Jul 2, 2019	-182	Firm change after gap	Ibd to new firm
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT	LPL FINANCIAL LLC	Oct 17, 2019	Nov 10, 2017	-706	Firm change after gap	RIA to RIA
WADDELL & REED	FINANCIAL ADVOCATES INVESTMENT MANAGEMENT	Nov 9, 2016	Nov 14, 2016	5	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
866:151298:WA:2016-11-09	Nov 9, 2016	Nov 14, 2016	BELLEVUE, WA	Firm change

Relationships

Registered with (5)

→ THE RETIREMENT SOLUTION LLCRegistered adviserregistration: current employment
Nov 6, 2023 to presentfactForm ADV
→ B3 WEALTH STRATEGIESRegistered adviserregistration: previous registration
Jul 2, 2019 to Oct 12, 2023factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Nov 10, 2017 to Dec 31, 2019factForm ADV
→ FINANCIAL ADVOCATES INVESTMENT MANAGEMENTRegistered adviserregistration: previous registration
Nov 14, 2016 to Oct 17, 2019factForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
Jun 20, 2002 to Nov 9, 2016factForm ADV

Dated events

Occurred
Oct 12, 2023
Advisor changed firm
Heather M Carlson left B3 Wealth Strategies for The Retirement Solution Llc (registered 2023-11-06)
Form ADVobserved 5 days ago