DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

CARLSON FINANCIAL ADVISORS

CARLSON, WILLIAM NORMAN, CRD 121264

BELMONT, CA

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:d13b05fb-2ccd-e320-f26b-a7f4fd9890a3

Data as of Apr 10, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Feb 3, 2012 to Apr 10, 2012
4 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: $27.8MItem 5.F on the latest filing (2012-04-10); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $27.8M
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
Accounts: 252
SEC number: 801-66327
CRD: 121264
Filings on the tape: 4
First filed: Feb 3, 2012
Latest filed: Apr 10, 2012
Organised: Sole Proprietorship, California

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, WILLIAM, NORMAN	SOLE PROPRIETOR/ CHIEF COMPLIANCE OFFICER	E	yes	07/1992	Feb 3, 2012	Apr 10, 2012

Relationships

Controls (1)

← CARLSON, WILLIAM, NORMANOwnerSOLE PROPRIETOR/ CHIEF COMPLIANCE OFFICER, ownership code E, individual
Feb 3, 2012 to presentfactForm ADV

Registered with (1)

← MARK KIRKHAM PINGREEAdvisorregistration: previous registration
Sep 29, 2016 to Oct 8, 2022factForm ADV

Dated events

Occurred
Oct 8, 2022
Advisor changed firm
Mark Kirkham Pingree left Carlson Financial Advisors for Fog City Advisors, Llc (registered 2022-06-22)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d13b05fb-2ccd-e320-f26b-a7f4fd9890a3
First observed: Feb 3, 2012
Last observed: Apr 10, 2012 175 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 ADVISORS

CARLSON, WILLIAM NORMAN, CRD 121264

BELMONT, CA

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:d13b05fb-2ccd-e320-f26b-a7f4fd9890a3

Data as of Apr 10, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:37 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CARLSON, WILLIAM, NORMAN

SOLE PROPRIETOR/ CHIEF COMPLIANCE OFFICER

yes

07/1992

Feb 3, 2012

Apr 10, 2012