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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

TRADEMARK FINANCIAL MANAGEMENT, LLC

CRD 116543

BLOOMINGTON, 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:f6876ca3-a2ca-4b9f-3b5f-a2ecd2ee75a3

Data as of Mar 9, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 5
On other graphs: 0
Observed: Mar 7, 2012 to Mar 9, 2026
36 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $293MItem 5.F on the latest filing (2026-03-09); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $293M
Private client RAUM: $293MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $147Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 5
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 923
Individual clients: 409
High net worth clients: 49
Custody, client assets: $17.2M
SEC number: 801-80925
CIK: 2011736
CRD: 116543
Filings on the tape: 36
First filed: Mar 7, 2012
Latest filed: Mar 9, 2026
Organised: Limited Liability Company, MN
Website: trademarkfinancial.us

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
MARK ANBUHL CARLTON	Chartered Financial Analyst	BLOOMINGTON, MN	13	39	2	no
Samuel Joseph Glubka	n/a	BLOOMINGTON, MN	0	12	1	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
CARLTON, MARK, ANBUHL	MANAGING MEMBER	E	yes	06/2000	Mar 7, 2012	Jun 6, 2024
LUTZ, JENNIFER, KATHRYN	CHIEF COMPLIANCE OFFICER	Na	yes	10/2022	Oct 28, 2022	Jun 6, 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
CAPITAL STRATEGIES FINANCIAL CORPORATION	n/a	Former SEC adviser	$82.2M	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; showing 12 of 13

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 9, 2026	$293M	$293M	5	2	0	n/a	n/a
2024	Feb 4, 2025	$246M	$246M	4	1	0	n/a	n/a
2023	Mar 19, 2024	$250M	$250M	5	2	0	n/a	n/a
2022	Mar 27, 2023	$208M	$208M	5	3	0	n/a	n/a
2021	Jan 31, 2022	$232M	$232M	5	3	0	n/a	n/a
2020	Feb 3, 2021	$213M	$213M	5	3	0	n/a	n/a
2019	Feb 19, 2020	$174M	$174M	4	2	0	n/a	n/a
2018	Feb 11, 2019	$130M	$130M	4	2	0	n/a	n/a
2017	Feb 28, 2018	$130M	$130M	4	2	0	n/a	n/a
2016	Jan 19, 2017	$110M	$110M	4	2	n/a	n/a	n/a
2015	Mar 16, 2016	$103M	$103M	4	3	n/a	n/a	n/a
2011	Mar 7, 2012	$64.5M	$64.5M	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	2

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	$293M	$246M	19.1%	$208M	12.1%	5	4	0	0

Relationships

Affiliated with (2)

→ CAPITAL STRATEGIES FINANCIAL CORPORATIONRegistered adviserother investment adviser
factForm ADV
← CAPITAL STRATEGIES FINANCIAL CORPORATIONRegistered adviserother investment adviser
factForm ADV

Registered with (7)

← Samuel Joseph GlubkaAdvisorregistration: current employment
Nov 4, 2025 to presentfactForm ADV
← MARK ANBUHL CARLTONAdvisorregistration: current employment
Jan 24, 2013 to presentfactForm ADV
← Zachary Thomas DesmondAdvisorregistration: previous registration
Feb 22, 2021 to Jun 6, 2024factForm ADV
← JOHN PHILLIP MOWERYAdvisorregistration: previous registration
Mar 12, 2012 to Mar 19, 2024factForm ADV
← Stacie Lynn GiddingsAdvisorregistration: previous registration
Oct 28, 2014 to Jun 6, 2016factForm ADV
← STEPHEN ROBERT CARLTONAdvisorregistration: previous registration
Sep 3, 2012 to Nov 14, 2013factForm ADV
← KARALYN JAYNE CARLTONAdvisorregistration: previous registration
Jun 7, 2012 to Nov 14, 2013factForm ADV

Controls (2)

← CARLTON, MARK, ANBUHLOwnerMANAGING MEMBER, ownership code E, individual
Mar 7, 2012 to Jun 6, 2024factForm ADV
← LUTZ, JENNIFER, KATHRYNOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Oct 28, 2022 to Jun 6, 2024factForm ADV

Dated events

Occurred
Jun 6, 2024
Advisor changed firm
Zachary Thomas Desmond left Trademark Financial Management, Llc for Newedge Advisors (registered 2024-05-13)
Form ADVobserved 4 days ago
Occurred
Mar 19, 2024
Control person left
Phillip John Mowery (Vice President) no longer on Schedule A of Trademark Financial Management, Llc (listed 2023-10-23, absent 2024-03-19)
Form ADVobserved 4 days ago
Occurred
Mar 19, 2024
Advisor changed firm
John Phillip Mowery left Trademark Financial Management, Llc for O'Brien And Associates, Inc. (registered 2019-09-30)
Form ADVobserved 4 days ago
Occurred
Oct 28, 2022
Control person joined
Kathryn Jennifer Lutz (Chief Compliance Officer) appeared on Schedule A of Trademark Financial Management, Llc
Form ADVobserved 4 days ago
Occurred
Jan 27, 2015
First Form ADV filing
Trademark Financial Management, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f6876ca3-a2ca-4b9f-3b5f-a2ecd2ee75a3
First observed: Mar 7, 2012
Last observed: Mar 9, 2026 6 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.

TRADEMARK FINANCIAL MANAGEMENT, LLC

CRD 116543

BLOOMINGTON, 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:f6876ca3-a2ca-4b9f-3b5f-a2ecd2ee75a3

Data as of Mar 9, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:31 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

MARK ANBUHL CARLTON

Chartered Financial Analyst

BLOOMINGTON, MN

Samuel Joseph Glubka

n/a

BLOOMINGTON, MN

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CARLTON, MARK, ANBUHL

MANAGING MEMBER

yes

06/2000

Mar 7, 2012

Jun 6, 2024

LUTZ, JENNIFER, KATHRYN

CHIEF COMPLIANCE OFFICER

yes

10/2022

Oct 28, 2022

Jun 6, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CAPITAL STRATEGIES FINANCIAL CORPORATION

n/a

Former SEC adviser

$82.2M

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 9, 2026

$293M

n/a

2024

Feb 4, 2025

$246M

n/a

2023

Mar 19, 2024

$250M

n/a

2022

Mar 27, 2023

$208M

n/a

2021

Jan 31, 2022

$232M

n/a

2020

Feb 3, 2021

$213M

n/a

2019

Feb 19, 2020

$174M

n/a

2018

Feb 11, 2019

$130M

n/a

2017

Feb 28, 2018

$130M

n/a

2016

Jan 19, 2017

$110M

n/a

2015

Mar 16, 2016

$103M

n/a

2011

Mar 7, 2012

$64.5M

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

$293M

$246M

19.1%

$208M

12.1%