SourcingSourcing

CARLSON & COMPANY FINANCIAL SERVICES, LLC

C24
CRD 295907·SEC 801-113595·TOPEKA, KS
AUM
$632.2M
$500M-$1B
Est. Revenue
$6.3M
@ 1% on AUM
Est. EBITDA
$1.9M
@ 30% margin
Est. Deal Value
$15.2M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
CARLSON & COMPANY FINANCIAL SERVICES, LLC
CRD
295907
SEC file #
801-113595
EIN
—
DBA names
Carlson Financial

Economics

AUM
$632.2M
AUM band
$500M-$1B
AUM trajectory
'20'26
$146.3M → $632.2M▲ +332%
Client mix
Individuals Other924
Individuals High Net Worth173

Operations

Employees (total)
29
Advisory staff (per ADV)
10
Advisory staff (5-yr trend)
'20'26
6 advisors → 10 advisors▲ +67%
Primary office
TOPEKA KS
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Financial planningPortfolio mgmt — individuals
Fee basis
% of AUMOther Compensation

Filings

Latest ADV filing
03/31/2026
ADV-W filed at
—
Website
facebook.com/carlsonfinancial(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
CARLSON FINANCIAL HOLDINGS
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
5
Control Persons
CARLSON FINANCIAL HOLDINGS
CARLSON, CARL, R
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:carlson.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (8)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
10
Bc Firm IAR Count
10
Custodian Candidates
Full
E*trade4
Fidelity2
Firm Has Custody
No
Mailing Office Differs
Yes
Trust Company Affiliate
No

People (11)

11
ORZOLEK, SUSANNAH, AMELIA
IAR · Executive Officer · 2.5%
7215448
MOYLAN, DANIEL, EUGENE
IAR · Executive Officer · 2.5%
6849060
CARLSON, CARL, R
IAR · Executive Officer · 2.5%
5802320
MULLER, THERESA, ANN
Executive Officer · 2.5%
5853117
JONATHAN PAUL BROBST
IAR
4126199
ALEXANDER MATTHEW BRADSHAW HAMMERSLEY
IAR
7645917
ANNA L CARLSON
IAR
6952797
Jacob Donald Williams
IAR
5613035
MARISSA KAY WALDRON
IAR
5810068
IAN MICHAEL GALLAGHER
IAR
8004690
JORDAN PETER MISTRETTA
IAR
8004680