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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

PARKER CARLSON & JOHNSON

CRD 105815

DAYTON, OH

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:abf07dc6-c391-bcb9-14cc-aba8d4283c96

Data as of Nov 20, 2015 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2012 to Nov 20, 2015
8 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $288MItem 5.F on the latest filing (2015-11-20); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $247M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees: 4
Accounts: 333
SEC number: 801-17956
CRD: 105815
Filings on the tape: 8
First filed: Mar 28, 2012
Latest filed: Nov 20, 2015
Organised: Corporation, Ohio

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, KATHLEEN, ANN	PRESIDENT, TREASURER, CHIEF COMPLIANCE OFFICER, DIRECTOR	C	yes	09/1982	Mar 28, 2012	Nov 20, 2015
JOHNSON, JAMES, MELVIN	SECRETARY, CHIEF INVESTMENT OFFICER, DIRECTOR	D	yes	09/1982	Mar 28, 2012	Nov 20, 2015
PIERCE, SANDRA, KAY	VICE PRESIDENT, DIRECTOR	A	yes	08/1996	Mar 28, 2012	Nov 20, 2015

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
CAPFINANCIAL PARTNERS, LLC	n/a	Institutional manager	$1237B	N	no	Nc
CAPFINANCIAL SECURITIES, LLC.	n/a	Former SEC adviser	$116B	N	no	n/a

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
2014	Mar 13, 2015	$288M	$247M	8	4	n/a	n/a	n/a
2013	Mar 18, 2014	$274M	$234M	8	4	n/a	n/a	n/a
2012	Mar 26, 2013	$241M	$209M	8	4	n/a	n/a	n/a
2011	Mar 28, 2012	$224M	$196M	n/a	n/a	n/a	n/a	n/a

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
2014	$288M	$274M	5.1%	$224M	8.7%	8	8	n/a	n/a

Relationships

Affiliated with (2)

→ CAPTRUST FINANCIAL ADVISORSRegistered adviserbroker-dealer
factForm ADV
→ CAPTRUSTRegistered adviserother investment adviser
factForm ADV

Controls (3)

← PIERCE, SANDRA, KAYOwnerVICE PRESIDENT, DIRECTOR, ownership code A, individual
Mar 28, 2012 to presentfactForm ADV
← CARLSON, KATHLEEN, ANNOwnerPRESIDENT, TREASURER, CHIEF COMPLIANCE OFFICER, DIRECTOR, ownership code C, individual
Mar 28, 2012 to presentfactForm ADV
← JOHNSON, JAMES, MELVINOwnerSECRETARY, CHIEF INVESTMENT OFFICER, DIRECTOR, ownership code D, individual
Mar 28, 2012 to presentfactForm ADV

Registered with (2)

← JAMES MELVIN JOHNSONAdvisorregistration: previous registration
May 23, 2012 to Dec 31, 2015factForm ADV
← AMY ELIZABETH BARKERAdvisorregistration: previous registration
May 8, 2012 to Sep 22, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:abf07dc6-c391-bcb9-14cc-aba8d4283c96
First observed: Mar 28, 2012
Last observed: Nov 20, 2015 131 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.

PARKER CARLSON & JOHNSON

CRD 105815

DAYTON, OH

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:abf07dc6-c391-bcb9-14cc-aba8d4283c96

Data as of Nov 20, 2015 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:11 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CARLSON, KATHLEEN, ANN

PRESIDENT, TREASURER, CHIEF COMPLIANCE OFFICER, DIRECTOR

yes

09/1982

Mar 28, 2012

Nov 20, 2015

JOHNSON, JAMES, MELVIN

SECRETARY, CHIEF INVESTMENT OFFICER, DIRECTOR

yes

09/1982

Mar 28, 2012

Nov 20, 2015

PIERCE, SANDRA, KAY

VICE PRESIDENT, DIRECTOR

yes

08/1996

Mar 28, 2012

Nov 20, 2015

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CAPFINANCIAL PARTNERS, LLC

n/a

Institutional manager

$1237B

CAPFINANCIAL SECURITIES, LLC.

n/a

Former SEC adviser

$116B

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Mar 13, 2015

$288M

$247M

n/a

2013

Mar 18, 2014

$274M

$234M

n/a

2012

Mar 26, 2013

$241M

$209M

n/a

2011

Mar 28, 2012

$224M

$196M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

$288M

$274M

5.1%

$224M

8.7%

n/a