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.

SEC-registered adviser

Carson Group Investing

Asset manager (funds and pooled vehicles)Omaha, NebraskaCRD 291744SEC 801-113561IAPD
Legal name Carson Group Investing, LLC
Latest filing May 5, 2026
First filing on the tape Jun 6, 2018 · 41 filings
SEC status approved since Jul 9, 2018
RAUM
$2.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$293M
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$2.0B as of May 5, 2026
Mar 29, 2019$183M then
HNW client RAUM$0 as of May 5, 2026
Mar 29, 2019$14.7M then
State-registered IARs (5.B.3)7 as of May 5, 2026
Mar 29, 20194 then
Employees (5.A)7 as of May 5, 2026
Mar 29, 20198 then
Private funds: no history
RAUM +15% over the last fiscal year-3.2% a year over threeIARs 7 to 7
Practice profile
derived from the filing of May 5, 2026; every figure names its basis
RAUM per advisor
$293MderivedRAUM 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
$135,466derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+15%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Other investment advisers$2.0B100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
15,122reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=1.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Daniel Mark Applegarth · Chief Financial Officercontrol
    since 04/2024 · owns less than 5%
  • Lloyd Ronald Carson · Founder & Chairmancontrol
    since 05/2018 · owns less than 5%
  • James Clements · Chief Compliance Officercontrol
    since 09/2020 · owns less than 5%
  • Lantz Hunt · Chief Operations Officercontrol
    since 05/2018 · owns less than 5%
  • Burton George White · Chief Executive Officercontrol
    since 10/2023 · owns less than 5%
  • Lloyd Ronald Carson · Principalcontrol
    since 12/1994 · owns 50% to 75% of Carson Group Holdings, LLC
Entity owners
  • Carson Group Holdings, LLC · Direct Owner
    direct · owns 75% or more
  • Bcc Blueprint Holdings I, LLC · Direct Owner
    indirect · owns 75% or more of Bcc Blueprint Holdings II, LLC
  • Bcc Blueprint Holdings II, LLC · Direct Owner
    indirect · owns 25% to 50% of Carson Group Holdings, LLC
  • Bcc Blueprint Investments, LP · Direct Owner
    indirect · owns 75% or more of Bcc Blueprint Holdings I, LLC
  • Carson Group, Inc. · Direct Owner
    indirect · owns 25% to 50% of Carson Group Holdings, LLC
Related persons
Schedule D 7.A
Advisers that list Carson Group Investing as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Omaha, Ne · principal700
Offices
Schedule D 1.F, the 25 largest
  • , 1 employees
What changed
consecutive filings, newest first
  • Accounts · 14,187 to 15,122
    Mar 12, 2025 to Mar 30, 2026
  • Discretionary RAUM · $1.8B to $2.0B
    Mar 12, 2025 to Mar 30, 2026
  • RAUM · $1.8B to $2.0B
    Mar 12, 2025 to Mar 30, 2026
  • Accounts · 13,359 to 14,187
    Jan 27, 2025 to Mar 12, 2025
  • Financial planning clients · unset to
    Jan 27, 2025 to Mar 12, 2025
  • Discretionary RAUM · $2.0B to $1.8B
    Jan 27, 2025 to Mar 12, 2025
  • RAUM · $2.0B to $1.8B
    Jan 27, 2025 to Mar 12, 2025
  • Accounts · 12,155 to 13,359
    Oct 9, 2023 to Mar 27, 2024
  • Discretionary RAUM · $2.3B to $2.0B
    Oct 9, 2023 to Mar 27, 2024
  • RAUM · $2.3B to $2.0B
    Oct 9, 2023 to Mar 27, 2024
  • Accounts · 16,285 to 12,155
    Aug 30, 2022 to Mar 31, 2023
  • Advisory employees · 6 to 7
    Aug 30, 2022 to Mar 31, 2023
  • Employees · 6 to 7
    Aug 30, 2022 to Mar 31, 2023
  • Insurance-licensed employees · 2 to 7
    Aug 30, 2022 to Mar 31, 2023
  • State-registered IARs · 6 to 7
    Aug 30, 2022 to Mar 31, 2023
  • Other offices · 3 to 2
    Aug 30, 2022 to Mar 31, 2023
  • Discretionary RAUM · $2.2B to $2.3B
    Aug 30, 2022 to Mar 31, 2023
  • RAUM · $2.2B to $2.3B
    Aug 30, 2022 to Mar 31, 2023
  • Accounts · 15,649 to 16,285
    Jun 7, 2022 to Aug 30, 2022
  • Discretionary RAUM · $2.6B to $2.2B
    Jun 7, 2022 to Aug 30, 2022
  • RAUM · $2.6B to $2.2B
    Jun 7, 2022 to Aug 30, 2022
  • Accounts · 14,226 to 15,649
    Aug 19, 2021 to Mar 31, 2022
  • Advisory employees · 7 to 6
    Aug 19, 2021 to Mar 31, 2022
  • BD registered reps · 3 to 1
    Aug 19, 2021 to Mar 31, 2022
  • Employees · 7 to 6
    Aug 19, 2021 to Mar 31, 2022
  • State-registered IARs · 7 to 6
    Aug 19, 2021 to Mar 31, 2022
  • Other offices · 2 to 3
    Aug 19, 2021 to Mar 31, 2022
  • Discretionary RAUM · $2.1B to $2.6B
    Aug 19, 2021 to Mar 31, 2022
  • RAUM · $2.1B to $2.6B
    Aug 19, 2021 to Mar 31, 2022
  • Other offices · 4 to 2
    Apr 5, 2021 to Apr 6, 2021
  • Other offices · 3 to 4
    Mar 31, 2021 to Apr 5, 2021
  • Accounts · 9,742 to 14,226
    Sep 17, 2020 to Mar 31, 2021
  • Advisory employees · 11 to 7
    Sep 17, 2020 to Mar 31, 2021
  • Employees · 11 to 7
    Sep 17, 2020 to Mar 31, 2021
  • Insurance-licensed employees · 6 to 2
    Sep 17, 2020 to Mar 31, 2021
  • State-registered IARs · 8 to 7
    Sep 17, 2020 to Mar 31, 2021
  • Discretionary RAUM · $1.5B to $2.1B
    Sep 17, 2020 to Mar 31, 2021
  • RAUM · $1.5B to $2.1B
    Sep 17, 2020 to Mar 31, 2021
  • Corporate clients · 44 to 0
    May 4, 2020 to Aug 3, 2020
  • HNW clients · 1,909 to 0
    May 4, 2020 to Aug 3, 2020
Signals
17 dated events
  • James Nicholas Engelbart (Chief Financial Officer) no longer on Schedule A of Carson Group Investing (listed 2024-04-26, absent 2024-04-26)
    Apr 26, 2024 · Control person left · inference
  • Daniel Mark Applegarth (Chief Financial Officer) appeared on Schedule A of Carson Group Investing
    Apr 26, 2024 · Control person joined · fact
  • Burton George White (Chief Strategy Officer) appeared on Schedule A of Carson Group Investing
    Oct 9, 2023 · Control person joined · fact
  • Eugene Aaron Schaben (Managing Director) no longer on Schedule A of Carson Group Investing (listed 2023-09-18, absent 2023-10-09)
    Oct 9, 2023 · Control person left · inference
  • Brett Dale Carson left Carson Group Investing for Northwestern Mutual Investment Services,Llc (registered 2023-06-22)
    May 5, 2023 · Advisor changed firm · fact
  • Joseph Kevin Miller (General Counsel & Corporate Secretary) no longer on Schedule A of Carson Group Investing (listed 2023-03-31, absent 2023-04-21)
    Apr 21, 2023 · Control person left · inference
  • William Joshua Anthony Russell left Carson Group Investing for Alpha Architect (registered 2022-10-12)
    Oct 18, 2022 · Advisor changed firm · fact
  • Stephen Mark Swensen left Carson Group Investing for Ignite Planners Llc (registered 2023-03-27)
    Oct 17, 2022 · Advisor changed firm · fact
  • Vishnu Tait Lekraj left Carson Group Investing for Onedigital (registered 2022-04-12)
    Mar 8, 2022 · Advisor changed firm · fact
  • Joseph Kevin Miller (General Counsel & Corporate Secretary) appeared on Schedule A of Carson Group Investing
    Jun 30, 2021 · Control person joined · fact
  • Carson Group Investing reported RAUM $2.1B, up 48% from $1.5B (2020-09-17 to 2021-03-31)
    Mar 31, 2021 · RAUM change · derived
  • P Daniel Tobin (Vice President/Chief Compliance Officer) no longer on Schedule A of Carson Group Investing (listed 2020-08-03, absent 2020-09-17)
    Sep 17, 2020 · Control person left · inference
  • James Clements (Chief Compliance Officer) appeared on Schedule A of Carson Group Investing
    Sep 17, 2020 · Control person joined · fact
  • James Nicholas Engelbart (Chief Financial Officer) appeared on Schedule A of Carson Group Investing
    Sep 17, 2020 · Control person joined · fact
  • David Screnar (Chief Financial Officer) no longer on Schedule A of Carson Group Investing (listed 2020-03-27, absent 2020-04-28)
    Apr 28, 2020 · Control person left · inference
  • Carson Group Investing reported RAUM $1.5B, up 692% from $183.1M (2019-10-25 to 2020-03-27)
    Mar 27, 2020 · RAUM change · derived
  • Carson Group Investing filed its initial SEC registration (Form ADV)
    Jun 6, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
Principal office phone
402-334-6270reportedpublic record, Form ADV, May 5, 2026
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
Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
RAUM per advisor
$293Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026