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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

Carol Ann Goetsch

Advisor at OAKWOOD CAPITAL, INC.

Maple Grove, MN | ST. LOUIS PARK, MN

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Search this name across graphsid dfx:ria:5c8d3c0f-61ba-8e52-6aee-3671f72fe9e2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Jun 5, 2007 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: OAKWOOD CAPITAL, INC.
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: Dec 30, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Dec 30, 1999
First registration: Jun 5, 2007
Dual registered: yes, broker-dealer
IAPD individual key: 1528051

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
OAKWOOD CAPITAL, INC.	Independent wealth	Apr 14, 2026	n/a	yes	ST. LOUIS PARK, MN\|Maple Grove, MN	Current employment
TLG ADVISORS, INC.	Bd affiliated wealth	Jun 28, 2024	Apr 27, 2026	no	Towson, MD\|SUMMIT, NJ	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Apr 16, 2018	Jan 25, 2024	no	MINNEAPOLIS, MN	Previous registration
U.S. BANCORP INVESTMENTS, INC.	Former SEC adviser	Oct 4, 2010	Jan 19, 2017	no	Minneapolis, MN\|Saint Paul, MN	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jun 5, 2007	Apr 6, 2010	no	MINNEAPOLIS, MN\|WEEHAWKEN, NJ	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
TLG ADVISORS, INC.	OAKWOOD CAPITAL, INC.	Apr 27, 2026	Apr 14, 2026	-13	Firm change	Ibd to RIA
RBC CAPITAL MARKETS, LLC	TLG ADVISORS, INC.	Jan 25, 2024	Jun 28, 2024	155	Firm change	Ibd to ibd
U.S. BANCORP INVESTMENTS, INC.	RBC CAPITAL MARKETS, LLC	Jan 19, 2017	Apr 16, 2018	452	Firm change after gap	Other
UBS FINANCIAL SERVICES INC.	U.S. BANCORP INVESTMENTS, INC.	Apr 6, 2010	Oct 4, 2010	181	Firm change	Other

Relationships

Registered with (5)

→ OAKWOOD CAPITAL, INC.Registered adviserregistration: current employment
Apr 14, 2026 to presentfactForm ADV
→ TLG ADVISORS, INC.Registered adviserregistration: previous registration
Jun 28, 2024 to Apr 27, 2026factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Apr 16, 2018 to Jan 25, 2024factForm ADV
→ U.S. BANCORP INVESTMENTS, INC.Registered adviserregistration: previous registration
Oct 4, 2010 to Jan 19, 2017factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jun 5, 2007 to Apr 6, 2010factForm ADV

Dated events

Occurred
Apr 27, 2026
Advisor changed firm
Carol Ann Goetsch left Tlg Advisors, Inc. for Oakwood Capital, Inc. (registered 2026-04-14)
Form ADVobserved 4 days ago
Occurred
Jan 25, 2024
Advisor changed firm
Carol Ann Goetsch left Rbc Capital Markets, Llc for Tlg Advisors, Inc. (registered 2024-06-28)
Form ADVobserved 4 days ago