Dl Carlson Investment Group Inc. (Concord)

Name: Dl Carlson Investment Group Inc.
Address: Two Capital Plaza, Concord, NH, 03301
Telephone: 603-224-5977

Dl Carlson Investment Group Inc. is a large advisory firm based in Concord. It manages $492.2 million of regulatory assets for 688 client accounts. It has been registered with the SEC as an adviser since 2017 and has operated in the jurisdictions of Connecticut, Florida, Maryland, and 7 other states.

Dl Carlson Investment Group provides financial planning services, portfolio management for individuals and small businesses, and portfolio management for businesses and institutional clients. It prepares financial plans for more than 25 clients. On top of advisory services, the firm doesn't engage in other business activities.

Dl Carlson Investment Group: assets under management

The assets under management (AUM) of Dl Carlson Investment Group Inc. is $492.2 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 7% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $492.2 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $715.41 thousand each.

Dl Carlson Investment Group has custody of $6.86 million in cash and securities for 4 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 70% of the total AUM. The second-largest asset type is investment grade corporate bonds, which make up 14% of the firm’s portfolio. Investments in government bonds form 10% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Dl Carlson Investment Group Inc. for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients David Littlefield Carlson serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of David Littlefield Carlson is high net worth individuals with 80 clients and $212.64 million of assets under management. Among the 11 most similar advisory firms, Dl Carlson Investment Group has the 6th highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $492.2 million for 282 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Dl Carlson Investment Group doesn't advise any private funds.

Careers at Dl Carlson Investment Group Inc.

The company employs 10 people that are either part- or full-time employees. 60 percent of the employees work as investment advisers or researchers. 6 employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Dl Carlson Investment Group Inc. is owned by Amy Elizabeth Carlson. David Littlefield Carlson has been acting as President since 1 Apr 1989. Jennifer Anne Johnsrud joined the executive team most recently as the Portfolio Manager.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
David Littlefield Carlson	President/director	1 Apr 1989	Other	1956933
James Roger Mullins	Chief compliance officers/director	1 Sep 2004	25% - 50%	4067197
Amy Elizabeth Carlson	Owner	1 Dec 2004	Other	4751986
Jennifer Carlson Mullins	Owner	1 Dec 2004	Other	4939587
Peter David Carlson	Owner	1 Jan 2005	Other	4939577
Rosamond Chenowith Carlson	Treasurer	1 Mar 2006	Other	4342344
Jennifer Anne Johnsrud	Portfolio manager	1 Feb 2017	Other	4751942

Based in Concord

The principal office where Dl Carlson Investment Group Inc. performs its advisory services is located at Two Capital Plaza, Concord, NH 03301, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 603-224-5977 or by fax 603-226-2156. The normal business hours are 8:00 - 5:00 on Monday - Friday. You can find more information about the New York firm at carlsoninvest.com.