DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

CARLSON FINANCIAL

CARLSON & COMPANY FINANCIAL SERVICES, LLC, CRD 295907

TOPEKA, KS

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:5c004722-d037-9f23-9f79-4a55c5d4fa1f

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 36
Dated events: 15
On other graphs: 0
Observed: Jun 12, 2018 to Mar 31, 2026
19 observations

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

Firm class: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $632MItem 5.F on the latest filing (2026-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $632M
Private client RAUM: $632MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 11
RAUM per advisor: $57.5Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 29
Advisory employees: 10
Offices: 4Schedule D 1.F, beyond the principal office
Accounts: 1,097
Individual clients: 924
High net worth clients: 173
SEC number: 801-113595
CRD: 295907
Filings on the tape: 19
First filed: Jun 12, 2018
Latest filed: Mar 31, 2026
Organised: Limited Liability Company, KS

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
CARL R CARLSON	n/a	TOPEKA, KS	4	16	2	no
ANNA L CARLSON	n/a	GLEN ALLEN, VA	4	13	2	no
SUSANNAH AMELIA ORZOLEK	n/a	TOPEKA, KS \| GLEN ALLEN, VA	4	10	1	no
DANIEL EUGENE MOYLAN	n/a	TOPEKA, KS	4	11	2	no
Jacob Donald Williams	n/a	COLORADO SPRINGS, CO	4	14	2	no
ALEXANDER MATTHEW BRADSHAW HAMMERSLEY	n/a	TOPEKA, KS	3	11	n/a	no
JONATHAN PAUL BROBST	n/a	TOPEKA, KS \| COLORADO SPRINGS, CO	1	11	n/a	no
JORDAN PETER MISTRETTA	n/a	GLEN ALLEN, VA \| TOPEKA, KS	1	10	n/a	no
MARISSA KAY WALDRON	Certified Financial Planner	TOPEKA, KS \| AZLE, TX	1	13	3	no
IAN MICHAEL GALLAGHER	n/a	TOPEKA, KS \| GLEN ALLEN, VA	0	12	n/a	no
PARKER TATE DUDA	n/a	GLEN ALLEN, VA \| TOPEKA, KS	0	11	n/a	no
REAGAN MARY HUSKISSON	n/a	COLORADO SPRINGS, CO \| TOPEKA, KS	0	10	n/a	no
JOSEPH DUPREE BRITT	n/a	GLEN ALLEN, VA \| TOPEKA, KS	0	11	n/a	no
DANIEL MICHAEL MERRIMAN	n/a	GLEN ALLEN, VA \| TOPEKA, KS	0	17	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CARLSON, CARL, R	CHIEF EXECUTIVE OFFICER	E	yes	04/2018	Jun 12, 2018	Dec 4, 2024
MOYLAN, DANIEL, EUGENE	CHIEF INVESTMENT OFFICER	Na	yes	04/2018	Jun 12, 2018	Dec 4, 2024
MULLER, THERESA, ANN	CHIEF COMPLIANCE OFFICER	Na	no	12/2018	Dec 4, 2018	Dec 4, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
GLEN ALLEN	Va	United States	3	no
OVERLAND PARK	Ks	United States	2	no
COLORADO SPRINGS	Co	United States	1	no
VIRGINIA BEACH	Va	United States	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026	$632M	$632M	29	10	4	n/a	n/a
2024	Apr 30, 2025	$547M	$547M	27	14	4	n/a	n/a
2023	Mar 28, 2024	$509M	$509M	27	15	4	n/a	n/a
2022	Mar 31, 2023	$342M	$342M	27	15	5	n/a	n/a
2021	Mar 31, 2022	$364M	$364M	29	9	5	n/a	n/a
2020	Mar 31, 2021	$272M	$272M	22	6	4	n/a	n/a
2019	Jun 30, 2020	$202M	$201M	22	6	4	n/a	n/a
2018	Mar 25, 2019	$146M	$146M	16	6	4	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	4

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$632M	$547M	15.6%	$342M	22.7%	29	27	4	4

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
OPPENHEIMER & CO. INC.	2	Jan 8, 2024	Jan 10, 2024	VIRGINIA BEACH, VA	Team lift out	RIA to ibd	22.2%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	4	Apr 26, 2019	Dec 5, 2018	SARASOTA, FL	Team lift out	RIA to RIA	10.5%

Relationships

Registered with (21)

← PARKER TATE DUDAAdvisorregistration: current employment
Sep 3, 2026 to presentfactForm ADV
← IAN MICHAEL GALLAGHERAdvisorregistration: current employment
Mar 2, 2026 to presentfactForm ADV
← MARISSA KAY WALDRONAdvisorregistration: previous registration
Dec 4, 2018 to Dec 31, 2021factForm ADV
← JORDAN PETER MISTRETTAAdvisorregistration: current employment
Nov 5, 2024 to presentfactForm ADV
← JONATHAN PAUL BROBSTAdvisorregistration: current employment
Oct 1, 2024 to presentfactForm ADV
← ALEXANDER MATTHEW BRADSHAW HAMMERSLEYAdvisorregistration: current employment
Oct 25, 2022 to presentfactForm ADV
← Jacob Donald WilliamsAdvisorregistration: current employment
Mar 24, 2022 to presentfactForm ADV
← DANIEL EUGENE MOYLANAdvisorregistration: previous registration
Oct 17, 2018 to Dec 31, 2021factForm ADV
← CARL R CARLSONAdvisorregistration: previous registration
Oct 18, 2018 to Dec 31, 2021factForm ADV
← ANNA L CARLSONAdvisorregistration: previous registration
Dec 5, 2018 to Dec 31, 2021factForm ADV
← SUSANNAH AMELIA ORZOLEKAdvisorregistration: previous registration
Aug 17, 2020 to Dec 31, 2021factForm ADV
← Ryan Michael RinehartAdvisorregistration: previous registration
Jan 12, 2022 to Jul 24, 2024factForm ADV
← AUDRE SUZANNE ROBERTSONAdvisorregistration: previous registration
Sep 13, 2022 to Jan 8, 2024factForm ADV
← MATTHEW BENJAMIN JASKOLKAAdvisorregistration: previous registration
Jan 12, 2022 to Jan 8, 2024factForm ADV
← Shawn Martin PerkinsAdvisorregistration: previous registration
Sep 1, 2022 to Jan 3, 2024factForm ADV
← SCOTT MICHAEL RINEHARTAdvisorregistration: previous registration
Jan 12, 2022 to Aug 30, 2023factForm ADV
← MICHAEL DAVID GILMANAdvisorregistration: previous registration
Jan 12, 2022 to Mar 22, 2023factForm ADV
← JACOB BAUGHERAdvisorregistration: previous registration
Apr 20, 2022 to Jan 3, 2023factForm ADV
← PAUL EDWARD STANISZEWSKIAdvisorregistration: previous registration
Mar 28, 2022 to Jun 1, 2022factForm ADV
← Winston Alan MeyerAdvisorregistration: previous registration
Jan 12, 2022 to Jan 20, 2022factForm ADV
← TONI ANN ABATEAdvisorregistration: previous registration
Feb 25, 2019 to Apr 19, 2021factForm ADV

Controls (2)

← CARLSON, CARL, ROwnerCHIEF EXECUTIVE OFFICER, ownership code E, individual
Jun 12, 2018 to Dec 4, 2024factForm ADV
← MOYLAN, DANIEL, EUGENEOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Jun 12, 2018 to Dec 4, 2024factForm ADV

Owns (1)

← MULLER, THERESA, ANNOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 4, 2018 to Dec 4, 2024factForm ADV

Moved with (2)

→ OPPENHEIMER & CO. INC.Registered adviser2 advisors, team lift out, same day
Jan 8, 2024 to Jan 10, 2024factForm ADV
← GLOBAL FINANCIAL PRIVATE CAPITAL, INC.Registered adviser4 advisors, team lift out
Apr 26, 2019 to Dec 5, 2018factForm ADV

Dated events

3 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jul 24, 2024
Advisor changed firm
Ryan Michael Rinehart left Carlson Financial for Coppell Advisory Solutions Llc (registered 2024-07-31)
Form ADVobserved 6 days ago
Occurred
Mar 28, 2024
Regulatory AUM changed
Carlson Financial reported RAUM $508.6M, up 49% from $342.4M (2023-03-31 to 2024-03-28)
Form ADVobserved 6 days ago
$166M
Occurred
Jan 8, 2024
Team lift-out
2 advisors left Carlson Financial (Virginia Beach, VA) for Oppenheimer & CO. Inc. on the same day
Form ADVobserved 6 days ago
2 advisors
Occurred
Jan 8, 2024
Advisor changed firm
Audre Suzanne Robertson left Carlson Financial for Oppenheimer & Co. Inc. (registered 2024-01-09)
Form ADVobserved 6 days ago
Occurred
Jan 8, 2024
Advisor changed firm
Matthew Benjamin Jaskolka left Carlson Financial for Oppenheimer & Co. Inc. (registered 2024-01-10)
Form ADVobserved 6 days ago
Occurred
Jan 3, 2024
Advisor changed firm
Shawn Martin Perkins left Carlson Financial for Genuine Wealth Solutions (registered 2024-01-04)
Form ADVobserved 6 days ago
Occurred
Aug 30, 2023
Advisor changed firm
Scott Michael Rinehart left Carlson Financial for Verifi Financial (registered 2022-11-09)
Form ADVobserved 6 days ago
Occurred
Mar 22, 2023
Advisor changed firm
Michael David Gilman left Carlson Financial for Grip Financial, Llc (registered 2023-05-19)
Form ADVobserved 6 days ago
Occurred
Jan 3, 2023
Advisor changed firm
Jacob Baugher left Carlson Financial for Fidelity Personal And Workplace Advisors (registered 2023-02-10)
Form ADVobserved 6 days ago
Occurred
Jun 1, 2022
Advisor changed firm
Paul Edward Staniszewski left Carlson Financial for One Advisory Partners, Llc (registered 2022-09-21)
Form ADVobserved 6 days ago
Occurred
Jan 20, 2022
Advisor changed firm
Winston Alan Meyer left Carlson Financial for Invisor (registered 2022-02-06)
Form ADVobserved 6 days ago
Occurred
Jun 12, 2018
First Form ADV filing
Carlson Financial filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Show 3 bookkeeping events

Occurred
Sep 15, 2026
Joseph Dupree Britt registered as an investment adviser representative at Carlson Financial
Occurred
Sep 15, 2026
Daniel Michael Merriman registered as an investment adviser representative at Carlson Financial
Occurred
Sep 14, 2026
Reagan Mary Huskisson registered as an investment adviser representative at Carlson Financial

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5c004722-d037-9f23-9f79-4a55c5d4fa1f
First observed: Jun 12, 2018
Last observed: Mar 31, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

CARLSON FINANCIAL

CARLSON & COMPANY FINANCIAL SERVICES, LLC, CRD 295907

TOPEKA, KS

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:5c004722-d037-9f23-9f79-4a55c5d4fa1f

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:57 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

CARL R CARLSON

n/a

TOPEKA, KS

ANNA L CARLSON

n/a

GLEN ALLEN, VA

SUSANNAH AMELIA ORZOLEK

n/a

TOPEKA, KS | GLEN ALLEN, VA

DANIEL EUGENE MOYLAN

n/a

TOPEKA, KS

Jacob Donald Williams

n/a

COLORADO SPRINGS, CO

ALEXANDER MATTHEW BRADSHAW HAMMERSLEY

n/a

TOPEKA, KS

n/a

JONATHAN PAUL BROBST

n/a

TOPEKA, KS | COLORADO SPRINGS, CO

n/a

JORDAN PETER MISTRETTA

n/a

GLEN ALLEN, VA | TOPEKA, KS

n/a

MARISSA KAY WALDRON

Certified Financial Planner

TOPEKA, KS | AZLE, TX

IAN MICHAEL GALLAGHER

n/a

TOPEKA, KS | GLEN ALLEN, VA

n/a

PARKER TATE DUDA

n/a

GLEN ALLEN, VA | TOPEKA, KS

n/a

REAGAN MARY HUSKISSON

n/a

COLORADO SPRINGS, CO | TOPEKA, KS

n/a

JOSEPH DUPREE BRITT

n/a

GLEN ALLEN, VA | TOPEKA, KS

n/a

DANIEL MICHAEL MERRIMAN

n/a

GLEN ALLEN, VA | TOPEKA, KS

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CARLSON, CARL, R

CHIEF EXECUTIVE OFFICER

yes

04/2018

Jun 12, 2018

Dec 4, 2024

MOYLAN, DANIEL, EUGENE

CHIEF INVESTMENT OFFICER

yes

04/2018

Jun 12, 2018

Dec 4, 2024

MULLER, THERESA, ANN

CHIEF COMPLIANCE OFFICER

12/2018

Dec 4, 2018

Dec 4, 2024

City

State

Country

Employees

Also broker-dealer

GLEN ALLEN

United States

OVERLAND PARK

United States

COLORADO SPRINGS

United States

VIRGINIA BEACH

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 31, 2026

$632M

n/a

2024

Apr 30, 2025

$547M

n/a

2023

Mar 28, 2024

$509M

n/a

2022

Mar 31, 2023

$342M

n/a

2021

Mar 31, 2022

$364M

n/a

2020

Mar 31, 2021

$272M

n/a

2019

Jun 30, 2020

$202M

$201M

n/a

2018

Mar 25, 2019

$146M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$632M

$547M

15.6%

$342M

22.7%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

OPPENHEIMER & CO. INC.

Jan 8, 2024

Jan 10, 2024

VIRGINIA BEACH, VA

Team lift out

RIA to ibd

22.2%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

Apr 26, 2019

Dec 5, 2018

SARASOTA, FL

Team lift out

RIA to RIA

10.5%