Carlson Investments

RIASEC RegisteredEst. 1989

Total AUM

$736M

Discretionary

$736M

100% of AUM

Avg account

$824K

Accounts

893

Employees

14

Advisory reps

10

Firm details

Headquarters: Concord, New Hampshire
CRD number: 105729
Registered since: June 12, 1989
Website: www.carlsoninvest.com
Custodians: CHARLES SCHWAB & CO., INC., COMMERCE NATIONAL BANK & TRUST
Fee structure: Percentage of AUM
Client types: HNWI56.73%
Pension & Profit Sharing Plans25.81%
Individuals16.51%
Charitable Organizations0.9%
Corporations / Businesses0.06%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional Clients

Firm profile

FINTRX

Overview

Carlson Investments is an independent registered investment adviser that has operated since the late 1980s and serves both individual/family and institutional clients. The firm charges fees based on a percentage of assets under management and offers financial planning and discretionary portfolio management for individuals, small businesses, and institutions. Carlson primarily implements equity-focused portfolios but supplements those with third‑party alternative managers and fixed-income or insurance products.

Assets & Accounts

Public Holdings

Investments & Alternatives

Read the full firm profile in FINTRX →

Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Asset composition

Exchange Traded Equities77%
Investment Grade Corp Bonds8%
US Government Bonds7%
Cash & Cash Equivalents3%
State & Local Bonds2%

Owners & executives

1 of 1

James Mullins
President and CIOCRD 4067197

Contacts

3 of 9

David Carlson
PresidentCRD 1956933
Richard Habermann
Portfolio ManagerCRD 2216146
Rosamond Carlson
ShareholderCRD 4342344

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Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

ETF holdings

1 of 68

Active vs passive

$340M in ETFs

Passive

88%

$300M

Active

12%

$39.8M

ETF	Provider	Style	Category	Value	Shares	% of portfolio
SCHWAB US BROAD MARKET ETF (SCHB)	Schwab	Passive	Large Blend	$75.1M	2,592,207	22.10%

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Primary office

Concord, NH

Merrimack

Location

Concord, NH

Headquartered in Concord, NH, anchoring the Boston-Worcester-Providence, MA-RI-NH-CT metro in the Northeast.

Metro area: Boston-Worcester-Providence, MA-RI-NH-CT
Region: Northeast
County: Merrimack
Address: 2 Capital Plz
Time zone: ET (UTC-5)
Office locations

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