Data / Investment advisers / Kansas / Carlson Financial
Carlson Financial, Topeka, KS: $632 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Carlson Financial is an SEC registered investment adviser with its main office in Topeka, Kansas and reports $632 million in regulatory assets under management in its Form ADV filed March 31, 2026. Its clients include individuals and high net worth individuals. It is paid through a percentage of assets under management and other fees.
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- Registration
- SEC registered investment adviser
- CRD number
- 295907
- SEC file number
- 801-113595
- SEC status
- Approved, effective July 12, 2018
- Legal name
- Carlson & Company Financial Services, LLC
- Main office
- 1201 SW Oakley Avenue, Topeka, KS 66604
- Phone
- (844) 227-5766
- Regulatory AUM
- $632,192,164 in the Form ADV filed March 31, 2026
- Discretionary AUM
- $632,192,164
- Accounts
- 1,097
- Employees
- 29, of which 10 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management, other fees
- Other offices
- 4
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- March 31, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| Individuals (other than high net worth individuals) | 924 | $366.7 million |
| High net worth individuals | 173 | $265.5 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| April 1, 2026 | $632.2 million | March 31, 2026 |
| December 1, 2025 | $546.7 million | April 30, 2025 |
Other advisers in Kansas
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Pinion Wealth Management, LLC | Wichita | $837.1 million | Not listed | adviserinfo.sec.gov |
| Paragon Capital Management LLC | Overland Park | $739.8 million | Not listed | adviserinfo.sec.gov |
| Aspyre Wealth Partners | Overland Park | $668.3 million | Not listed | adviserinfo.sec.gov |
| BCWM | Overland Park | $665.2 million | Not listed | adviserinfo.sec.gov |
| 503 Capital Partners, LLC | Leawood | $636.4 million | 8 | adviserinfo.sec.gov |
| Steffes Financial, LTD | Overland Park | $611.5 million | Not listed | adviserinfo.sec.gov |
| Endeavor Private Wealth, Inc. | Topeka | $595.3 million | Not listed | adviserinfo.sec.gov |
| Mattern Wealth Management LLC | Lawrence | $579 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Kansas
- Advisers with $500 million to $1 billion in AUM
- Advisers serving individuals
- Advisers serving high net worth individuals
- Carlson Financial on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.