DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Parker Carlson & Johnson

Former SEC-registered adviserDayton, OhioCRD 105815SEC 801-17956IAPD
Latest filing Nov 20, 2015
First filing on the tape Mar 28, 2012 · 8 filings
RAUM
$288M
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$288M as of Mar 13, 2015
Mar 28, 2012$224M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 13, 2015
Mar 26, 20134 then
Employees (5.A)8 as of Mar 13, 2015
Mar 26, 20138 then
Private funds: no history
RAUM +5.1% over the last fiscal year+8.7% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Nov 20, 2015; every figure names its basis
RAUM per advisor
$72.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$864,865derivedRAUM over accounts (5.F.2.f)
Discretionary
86%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+5.1%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, publicationsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
333reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Ann Kathleen Carlson · President, Treasurer, Chief Compliance Officer, Directorcontrol
      since 09/1982 · owns 25% to 50%
    • Melvin James Johnson · Secretary, Chief Investment Officer, Directorcontrol
      since 09/1982 · owns 50% to 75%
    • Kay Sandra Pierce · Vice President, Directorcontrol
      since 08/1996 · owns 5% to 10%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Related adviser · false to true
      Mar 13, 2015 to Nov 20, 2015
    • Related broker-dealer · false to true
      Mar 13, 2015 to Nov 20, 2015
    • Accounts · 326 to 333
      Mar 18, 2014 to Mar 13, 2015
    • Discretionary RAUM · $234M to $247M
      Mar 18, 2014 to Mar 13, 2015
    • Non-discretionary RAUM · $40.0M to $41.0M
      Mar 18, 2014 to Mar 13, 2015
    • RAUM · $274M to $288M
      Mar 18, 2014 to Mar 13, 2015
    • Accounts · 327 to 326
      Oct 10, 2013 to Mar 18, 2014
    • Discretionary RAUM · $226M to $234M
      Oct 10, 2013 to Mar 18, 2014
    • Non-discretionary RAUM · $39.0M to $40.0M
      Oct 10, 2013 to Mar 18, 2014
    • RAUM · $265M to $274M
      Oct 10, 2013 to Mar 18, 2014
    • Accounts · 363 to 327
      Apr 2, 2013 to Oct 9, 2013
    • Advisory activities · 5 to 4
      Apr 2, 2013 to Oct 9, 2013
    • Discretionary RAUM · $209M to $226M
      Apr 2, 2013 to Oct 9, 2013
    • Non-discretionary RAUM · $32.0M to $39.0M
      Apr 2, 2013 to Oct 9, 2013
    • RAUM · $241M to $265M
      Apr 2, 2013 to Oct 9, 2013
    • Accounts · 350 to 363
      Mar 28, 2012 to Mar 26, 2013
    • Advisory employees · unset to 4.0
      Mar 28, 2012 to Mar 26, 2013
    • Employees · unset to 8.0
      Mar 28, 2012 to Mar 26, 2013
    • State-registered IARs · unset to 4.0
      Mar 28, 2012 to Mar 26, 2013
    • Discretionary RAUM · $196M to $209M
      Mar 28, 2012 to Mar 26, 2013
    • Non-discretionary RAUM · $28.0M to $32.0M
      Mar 28, 2012 to Mar 26, 2013
    • RAUM · $224M to $241M
      Mar 28, 2012 to Mar 26, 2013
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026