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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

CARLSON INVESTMENTS

DL CARLSON INVESTMENT GROUP INC., CRD 105729

CONCORD, NH

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:b765f9a2-4a75-0526-e13a-cb55e6a6a4eb

Data as of Aug 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 2
On other graphs: 0
Observed: Mar 30, 2012 to Aug 25, 2026
35 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=0.73 fund_share=0.0 institutional_share=0.27 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $736MItem 5.F on the latest filing (2026-08-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $736M
Private client RAUM: $539MderivedItem 5.D individuals plus high net worth individuals
Private client share: 73%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 8
RAUM per advisor: $91.9Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 14
Advisory employees: 8
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 893
Individual clients: 243
High net worth clients: 107
SEC number: 801-34606
CIK: 1021117
CRD: 105729
Filings on the tape: 35
First filed: Mar 30, 2012
Latest filed: Aug 25, 2026
Organised: Corporation, NH
Website: carlsoninvest.com

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
JAMES ROGER MULLINS	Chartered Financial Analyst	CONCORD, NH	25	26	n/a	no
JOSEPH MICHAEL DRINON	n/a	CONCORD, NH	12	47	1	no
RICHARD CARL HABERMANN	n/a	CONCORD, NH	11	34	n/a	no
KYLE IAN FELLERS	n/a	CONCORD, NH	10	24	1	no
Daniel F Bednarczyk	n/a	CONCORD, NH	5	17	n/a	no
ALAN JOSEPH RATTEE	n/a	CONCORD, NH	2	12	n/a	no
Maxwell Cyr Kemper	n/a	CONCORD, NH	0	21	n/a	no
KATE T GRAHAM	n/a	CONCORD, NH	0	25	2	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, DAVID, LITTLEFIELD	Chairman	C	yes	04/1989	Mar 30, 2012	Sep 5, 2024
CARLSON, ROSAMOND, CHENOWITH	Shareholder	B	yes	03/2006	Mar 30, 2012	Sep 5, 2024
MULLINS, JAMES, ROGER	PRESIDENT/CCO	D	yes	09/2004	Mar 30, 2012	Sep 5, 2024

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 13, 2026	$736M	$736M	14	8	0	n/a	n/a
2024	Mar 28, 2025	$698M	$695M	12	6	0	n/a	n/a
2023	Mar 27, 2024	$635M	$635M	14	7	0	n/a	n/a
2022	Mar 28, 2023	$657M	$657M	13	6	0	n/a	n/a
2021	Mar 29, 2022	$825M	$825M	13	6	0	n/a	n/a
2020	Mar 29, 2021	$738M	$738M	12	8	0	n/a	n/a
2019	Apr 20, 2020	$536M	$536M	10	6	0	n/a	n/a
2018	Mar 27, 2019	$492M	$492M	10	6	0	n/a	n/a
2017	Mar 28, 2018	$513M	$513M	9	4	0	n/a	n/a
2016	Jan 30, 2017	$460M	$460M	9	4	n/a	n/a	n/a
2015	Mar 29, 2016	$433M	$433M	8	3	n/a	n/a	n/a
2014	Mar 19, 2015	$490M	$490M	9	4	n/a	n/a	n/a
2013	Apr 3, 2014	$484M	$484M	9	4	n/a	n/a	n/a
2012	Mar 12, 2013	$545M	$545M	9	4	n/a	n/a	n/a
2011	Mar 30, 2012	$535M	$535M	n/a	n/a	n/a	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
1	0	1	0.0%	0	0	0	1	1

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	$736M	$698M	5.3%	$657M	3.9%	14	12	0	0

Relationships

Registered with (10)

← KATE T GRAHAMAdvisorregistration: current employment
May 15, 2026 to presentfactForm ADV
← Maxwell Cyr KemperAdvisorregistration: current employment
Dec 2, 2025 to presentfactForm ADV
← ALAN JOSEPH RATTEEAdvisorregistration: current employment
Apr 19, 2024 to presentfactForm ADV
← Daniel F BednarczykAdvisorregistration: current employment
Jan 8, 2021 to presentfactForm ADV
← KYLE IAN FELLERSAdvisorregistration: current employment
Mar 21, 2016 to presentfactForm ADV
← RICHARD CARL HABERMANNAdvisorregistration: current employment
May 11, 2015 to presentfactForm ADV
← JOSEPH MICHAEL DRINONAdvisorregistration: current employment
Jun 30, 2014 to presentfactForm ADV
← JAMES ROGER MULLINSAdvisorregistration: current employment
Aug 31, 2001 to presentfactForm ADV
← KRISTINA SCHURRATH REGANAdvisorregistration: previous registration
Oct 1, 2020 to Jan 16, 2024factForm ADV
← BRIAN JOSEPH PRESTIAdvisorregistration: previous registration
Mar 28, 2007 to Aug 17, 2015factForm ADV

Controls (3)

← CARLSON, DAVID, LITTLEFIELDOwnerCHAIRMAN, ownership code C, individual
Mar 30, 2012 to Sep 5, 2024factForm ADV
← MULLINS, JAMES, ROGEROwnerPRESIDENT/CCO, ownership code D, individual
Mar 30, 2012 to Sep 5, 2024factForm ADV
← CARLSON, ROSAMOND, CHENOWITHOwnerSHAREHOLDER, ownership code B, individual
Mar 30, 2012 to Sep 5, 2024factForm ADV

Dated events

Occurred
Jan 16, 2024
Advisor changed firm
Kristina Schurrath Regan left Carlson Investments for Perigon Wealth Management, Llc (registered 2024-08-14)
Form ADVobserved 4 days ago
Occurred
Mar 29, 2021
Regulatory AUM changed
Carlson Investments reported RAUM $738.3M, up 38% from $535.5M (2020-06-30 to 2021-03-29)
Form ADVobserved 4 days ago
$203M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b765f9a2-4a75-0526-e13a-cb55e6a6a4eb
First observed: Mar 30, 2012
Last observed: Aug 25, 2026 25 days 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 INVESTMENTS

DL CARLSON INVESTMENT GROUP INC., CRD 105729

CONCORD, NH

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:b765f9a2-4a75-0526-e13a-cb55e6a6a4eb

Data as of Aug 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:59 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JAMES ROGER MULLINS

Chartered Financial Analyst

CONCORD, NH

n/a

JOSEPH MICHAEL DRINON

n/a

CONCORD, NH

RICHARD CARL HABERMANN

n/a

CONCORD, NH

n/a

KYLE IAN FELLERS

n/a

CONCORD, NH

Daniel F Bednarczyk

n/a

CONCORD, NH

n/a

ALAN JOSEPH RATTEE

n/a

CONCORD, NH

n/a

Maxwell Cyr Kemper

n/a

CONCORD, NH

n/a

KATE T GRAHAM

n/a

CONCORD, NH

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CARLSON, DAVID, LITTLEFIELD

Chairman

yes

04/1989

Mar 30, 2012

Sep 5, 2024

CARLSON, ROSAMOND, CHENOWITH

Shareholder

yes

03/2006

Mar 30, 2012

Sep 5, 2024

MULLINS, JAMES, ROGER

PRESIDENT/CCO

yes

09/2004

Mar 30, 2012

Sep 5, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 13, 2026

$736M

n/a

2024

Mar 28, 2025

$698M

$695M

n/a

2023

Mar 27, 2024

$635M

n/a

2022

Mar 28, 2023

$657M

n/a

2021

Mar 29, 2022

$825M

n/a

2020

Mar 29, 2021

$738M

n/a

2019

Apr 20, 2020

$536M

n/a

2018

Mar 27, 2019

$492M

n/a

2017

Mar 28, 2018

$513M

n/a

2016

Jan 30, 2017

$460M

n/a

2015

Mar 29, 2016

$433M

n/a

2014

Mar 19, 2015

$490M

n/a

2013

Apr 3, 2014

$484M

n/a

2012

Mar 12, 2013

$545M

n/a

2011

Mar 30, 2012

$535M

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

$736M

$698M

5.3%

$657M

3.9%