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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 1b 10b

CARLSON CAPITAL MANAGEMENT, LLC

CRD 281544

NORTHFIELD, MN

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:d0352c77-c2ea-dd32-1269-87bddd407426

Data as of Mar 24, 2025 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 54
Dated events: 16
On other graphs: 0
Observed: Oct 19, 2015 to Mar 24, 2025
30 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: $3.8BItem 5.F on the latest filing (2025-03-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $3.8B
Private client RAUM: $3.4BderivedItem 5.D individuals plus high net worth individuals
Private client share: 88%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 78
Advisory employees: 33
Offices: 30Schedule D 1.F, beyond the principal office
Accounts: 8,551
Individual clients: 750
High net worth clients: 805
SEC number: 801-106832
CIK: 1581298
CRD: 281544
Filings on the tape: 30
First filed: Oct 19, 2015
Latest filed: Mar 24, 2025
Organised: Limited Liability Company, MN

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 CAPITAL MANAGEMENT	Member	E	yes	01/2016	Oct 19, 2015	Mar 27, 2024
CARLSON, GREGORY, ALAN	FOUNDER & CEO	C	yes	01/1988	Oct 19, 2015	Mar 27, 2024
CARLSON, GREGORY, ALAN	FOUNDER & CEO	Na	yes	02/2015	Oct 19, 2015	Mar 27, 2024
CARLSON, JEFFREY, ROBERT	FOUNDER & SECRETARY/TREASURER	C	yes	01/1988	Oct 19, 2015	Mar 27, 2024
CARLSON, JEFFREY, ROBERT	FOUNDER & SECRETARY/TREASURER	Na	yes	02/2015	Oct 19, 2015	Mar 27, 2024
Pesek, Thomas, Clarence	Governor	Na	yes	06/2019	Mar 26, 2020	Mar 27, 2024
STETS, JUSTIN, DANIEL	CHIEF COMPLIANCE OFFICER/PRESIDENT	Na	yes	10/2015	Oct 19, 2015	Mar 27, 2024

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
CCM INVESTMENT GROUP, LLC	n/a	Former SEC adviser	$952M	Y	yes	n/a
CARLSON TRUST, A TRUST REPRESENTATIVE OFFICE OF NATIONAL ADVISORS TRUST COMPANY, FSB	n/a	n/a	n/a	N	no	Ks
CCM TAX & TRUST	n/a	n/a	n/a	Y	yes	n/a
VIAFORTE, INC.	n/a	n/a	n/a	Y	yes	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
Bloomington	Mn	United States	13	no
Northfield	Mn	United States	8	no
Rochester	Mn	United States	2	no
Hastings	Mn	United States	1	no
n/a	n/a	n/a	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
2024	Mar 24, 2025	$3.8B	$3.8B	78	33	30	n/a	n/a
2023	Mar 27, 2024	$3.5B	$3.5B	79	21	30	n/a	n/a
2022	Mar 25, 2023	$3.0B	$3.0B	79	21	30	n/a	n/a
2021	Mar 29, 2022	$3.2B	$3.1B	68	20	28	n/a	n/a
2020	Mar 24, 2021	$2.6B	$2.6B	57	31	5	n/a	n/a
2019	Mar 26, 2020	$2.3B	$2.2B	54	26	5	n/a	n/a
2018	Mar 29, 2019	$1.8B	$1.8B	46	15	5	n/a	n/a
2017	Mar 16, 2018	$1.9B	$1.9B	44	16	4	n/a	n/a
2016	Mar 30, 2017	$1.6B	$1.6B	41	16	n/a	n/a	n/a
2015	Mar 29, 2016	$1.4B	$1.4B	36	14	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
2024	$3.8B	$3.5B	8.7%	$3.2B	6.4%	78	79	30	30

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
SEQUOIA FINANCIAL GROUP, L.L.C.	3	Sep 10, 2025	Mar 31, 2025	NORTHFIELD, MN	Firm absorbed	RIA to RIA	75.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CARLSON CAPITAL MANAGEMENT	10	Dec 31, 2015	Dec 17, 2015	NORTHFIELD, MN	Firm absorbed	Other	100.0%

Relationships

Affiliated with (2)

← CCM INVESTMENT GROUP, LLCRegistered adviserother investment adviser, control, common control
factForm ADV
→ CCM INVESTMENT GROUP, LLCRegistered adviserother investment adviser, control, common control
factForm ADV

Registered with (43)

← JUSTIN DANIEL STETSAdvisorregistration: previous registration
Dec 15, 2015 to Sep 10, 2025factForm ADV
← DAVID ALAN WEBBAdvisorregistration: previous registration
Oct 5, 2023 to Sep 10, 2025factForm ADV
← CAMILA KUNDELE PETERSONAdvisorregistration: previous registration
Aug 21, 2018 to Sep 10, 2025factForm ADV
← CALLIE RAE GEISTAdvisorregistration: previous registration
Dec 15, 2015 to Sep 10, 2025factForm ADV
← GREGORY ALAN CARLSONAdvisorregistration: previous registration
Dec 17, 2015 to May 15, 2025factForm ADV
← JEFFREY ROBERT CARLSONAdvisorregistration: previous registration
Dec 15, 2015 to May 15, 2025factForm ADV
← KEVIN PAUL KOSKIAdvisorregistration: previous registration
Dec 15, 2015 to May 15, 2025factForm ADV
← ANDREW ALLEN HAUSKINSAdvisorregistration: previous registration
Dec 17, 2015 to May 15, 2025factForm ADV
← JASON BRANDT KLEYAdvisorregistration: previous registration
Dec 17, 2015 to May 15, 2025factForm ADV
← DAVID M SAYERSAdvisorregistration: previous registration
Jul 22, 2021 to May 15, 2025factForm ADV
← ABRA SUE KRAMASAdvisorregistration: previous registration
Aug 26, 2021 to May 15, 2025factForm ADV
← Nicholas KrakoskyAdvisorregistration: previous registration
Jan 28, 2020 to May 15, 2025factForm ADV
← AARON MICHAEL KLEINAdvisorregistration: previous registration
Mar 13, 2023 to May 15, 2025factForm ADV
← ADAM P HOFFMANNAdvisorregistration: previous registration
Dec 17, 2015 to May 15, 2025factForm ADV
← JAMES MICHAEL YAWORSKIAdvisorregistration: previous registration
Jun 9, 2016 to May 15, 2025factForm ADV
← STEVEN YATEKA TECKERAdvisorregistration: previous registration
Apr 6, 2023 to May 15, 2025factForm ADV
← Thomas Paul NowariakAdvisorregistration: previous registration
Aug 9, 2016 to May 15, 2025factForm ADV
← Andrew Kenneth OwenAdvisorregistration: previous registration
Nov 27, 2023 to May 15, 2025factForm ADV
← Lucas Jon PetersonAdvisorregistration: previous registration
Apr 18, 2024 to May 15, 2025factForm ADV
← Kim Diemer WurlAdvisorregistration: previous registration
Oct 8, 2020 to May 15, 2025factForm ADV
← CHRISTOPHER RICHARD FENCLAdvisorregistration: previous registration
Jan 23, 2025 to May 15, 2025factForm ADV
← Benjamin William Stalheim LaneAdvisorregistration: previous registration
Sep 4, 2019 to May 15, 2025factForm ADV
← Selene K SerklandAdvisorregistration: previous registration
May 11, 2023 to May 15, 2025factForm ADV
← ELIZABETH LEE ENGLANDAdvisorregistration: previous registration
Mar 22, 2024 to May 15, 2025factForm ADV
← Benjamin Robert CarlsonAdvisorregistration: previous registration
Oct 9, 2020 to May 15, 2025factForm ADV
← Cody William WarrenAdvisorregistration: previous registration
Jul 19, 2021 to May 15, 2025factForm ADV
← Joshua Robert LesterAdvisorregistration: previous registration
Apr 6, 2023 to May 15, 2025factForm ADV
← John Michael CroninAdvisorregistration: previous registration
May 3, 2024 to May 15, 2025factForm ADV
← Matthew David JaegerAdvisorregistration: previous registration
May 3, 2024 to May 15, 2025factForm ADV
← Lane Darryl ChristensenAdvisorregistration: previous registration
Oct 1, 2024 to May 15, 2025factForm ADV
and 13 more

Moved with (2)

→ SEQUOIA FINANCIAL GROUP, L.L.C.Registered adviser3 advisors, firm absorbed, same day
Sep 10, 2025 to Mar 31, 2025factForm ADV
← CARLSON CAPITAL MANAGEMENTRegistered adviser10 advisors, firm absorbed
Dec 31, 2015 to Dec 17, 2015factForm ADV

Controls (5)

← CARLSON, GREGORY, ALANOwnerFOUNDER & CEO, ownership code C, individual
Oct 19, 2015 to Mar 27, 2024factForm ADV
← CARLSON CAPITAL MANAGEMENTOwnerMEMBER, ownership code E, domestic entity
Oct 19, 2015 to Mar 27, 2024factForm ADV
← CARLSON, JEFFREY, ROBERTOwnerFOUNDER & SECRETARY/TREASURER, ownership code C, individual
Oct 19, 2015 to Mar 27, 2024factForm ADV
← STETS, JUSTIN, DANIELOwnerCHIEF COMPLIANCE OFFICER/PRESIDENT, ownership code NA, individual
Oct 19, 2015 to Mar 27, 2024factForm ADV
← Pesek, Thomas, ClarenceOwnerGOVERNOR, ownership code NA, individual
Mar 26, 2020 to Mar 27, 2024factForm ADV

Dated events

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

Occurred
Sep 10, 2025
Firm absorbed
Carlson Capital Management, LLC's advisors moved to Sequoia Financial Group, L.L.C. (Northfield, MN): 3 of 4 registered, on the same day
Form ADVobserved 3 days ago
3 advisors
Occurred
Sep 10, 2025
Advisor changed firm
Justin Daniel Stets left Carlson Capital Management, Llc for Sequoia Financial Group, L.L.C. (registered 2025-03-31)
Form ADVobserved 4 days ago
Occurred
Sep 10, 2025
Advisor changed firm
Camila Kundele Peterson left Carlson Capital Management, Llc for Sequoia Financial Group, L.L.C. (registered 2025-03-31)
Form ADVobserved 4 days ago
Occurred
Sep 10, 2025
Advisor changed firm
Callie Rae Geist left Carlson Capital Management, Llc for Sequoia Financial Group, L.L.C. (registered 2025-03-31)
Form ADVobserved 4 days ago
Occurred
Sep 10, 2025
Advisor changed firm
David Alan Webb left Carlson Capital Management, Llc for Sequoia Financial Group, L.L.C. (registered 2025-03-31)
Form ADVobserved 4 days ago
Occurred
Jan 23, 2025
Advisor changed firm
Samuel Joseph Glubka left Carlson Capital Management, Llc for Trademark Financial Management, Llc (registered 2025-11-04)
Form ADVobserved 4 days ago
Occurred
Jun 11, 2024
Advisor changed firm
Turner Lee Storm left Carlson Capital Management, Llc for Marks Group Wealth Management, Inc. (registered 2024-06-20)
Form ADVobserved 4 days ago
Occurred
Jun 11, 2024
Advisor changed firm
Robert Paul Bernard left Carlson Capital Management, Llc for Retirement Planners Of America (registered 2024-06-12)
Form ADVobserved 4 days ago
Occurred
Jun 29, 2022
Advisor changed firm
Rachel Elizabeth Chacko left Carlson Capital Management, Llc for Petersen Hastings Wealth Advisors, Inc. (registered 2022-07-20)
Form ADVobserved 4 days ago
Occurred
May 17, 2022
Advisor changed firm
Matthew James Morehead left Carlson Capital Management, Llc for Janiczek Wealth Management (registered 2022-04-13)
Form ADVobserved 4 days ago
Occurred
Mar 25, 2022
Advisor changed firm
Omer Abramovich left Carlson Capital Management, Llc for Cliftonlarsonallen Wealth Advisors, Llc (registered 2022-03-21)
Form ADVobserved 4 days ago
Occurred
Mar 26, 2020
Regulatory AUM changed
Carlson Capital Management, Llc reported RAUM $2.3B, up 28% from $1.8B (2019-11-04 to 2020-03-26)
Form ADVobserved 4 days ago
$497M
Occurred
Mar 26, 2020
Control person joined
Clarence Thomas Pesek (Governor) appeared on Schedule A of Carlson Capital Management, Llc
Form ADVobserved 4 days ago
Occurred
Oct 19, 2015
First Form ADV filing
Carlson Capital Management, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Show 2 bookkeeping events

Occurred
Dec 20, 2025
Carlson Capital Management, Llc no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $3.8B)
Occurred
Mar 29, 2022
Carlson Capital Management, Llc reported 28 offices beyond its principal office, up from 5 (2021-11-04 to 2022-03-29)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d0352c77-c2ea-dd32-1269-87bddd407426
First observed: Oct 19, 2015
Last observed: Mar 24, 2025 18 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 CAPITAL MANAGEMENT, LLC

CRD 281544

NORTHFIELD, MN

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:d0352c77-c2ea-dd32-1269-87bddd407426

Data as of Mar 24, 2025 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:04 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CARLSON CAPITAL MANAGEMENT

Member

yes

01/2016

Oct 19, 2015

Mar 27, 2024

CARLSON, GREGORY, ALAN

FOUNDER & CEO

yes

01/1988

Oct 19, 2015

Mar 27, 2024

CARLSON, GREGORY, ALAN

FOUNDER & CEO

yes

02/2015

Oct 19, 2015

Mar 27, 2024

CARLSON, JEFFREY, ROBERT

FOUNDER & SECRETARY/TREASURER

yes

01/1988

Oct 19, 2015

Mar 27, 2024

CARLSON, JEFFREY, ROBERT

FOUNDER & SECRETARY/TREASURER

yes

02/2015

Oct 19, 2015

Mar 27, 2024

Pesek, Thomas, Clarence

Governor

yes

06/2019

Mar 26, 2020

Mar 27, 2024

STETS, JUSTIN, DANIEL

CHIEF COMPLIANCE OFFICER/PRESIDENT

yes

10/2015

Oct 19, 2015

Mar 27, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CCM INVESTMENT GROUP, LLC

n/a

Former SEC adviser

$952M

yes

n/a

CARLSON TRUST, A TRUST REPRESENTATIVE OFFICE OF NATIONAL ADVISORS TRUST COMPANY, FSB

n/a

CCM TAX & TRUST

n/a

yes

n/a

VIAFORTE, INC.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Bloomington

United States

Northfield

United States

Rochester

United States

Hastings

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2024

Mar 24, 2025

$3.8B

n/a

2023

Mar 27, 2024

$3.5B

n/a

2022

Mar 25, 2023

$3.0B

n/a

2021

Mar 29, 2022

$3.2B

$3.1B

n/a

2020

Mar 24, 2021

$2.6B

n/a

2019

Mar 26, 2020

$2.3B

$2.2B

n/a

2018

Mar 29, 2019

$1.8B

n/a

2017

Mar 16, 2018

$1.9B

n/a

2016

Mar 30, 2017

$1.6B

n/a

2015

Mar 29, 2016

$1.4B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2024

$3.8B

$3.5B

8.7%

$3.2B

6.4%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

SEQUOIA FINANCIAL GROUP, L.L.C.

Sep 10, 2025

Mar 31, 2025

NORTHFIELD, MN

Firm absorbed

RIA to RIA

75.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CARLSON CAPITAL MANAGEMENT

Dec 31, 2015

Dec 17, 2015

NORTHFIELD, MN

Firm absorbed

Other

100.0%