Dl Carlson Investment Group Inc.
- Regulatory AUM
- $736M
- Discretionary
- $736M
- Clients
- 360
- Avg AUM / client
- $2.0M
- Accounts
- 893
- Employees
- 14
AUM over time
Annual snapshots from Form ADV filings · as of Mar 13, 2026
Investments (13F portfolio — 135 positions, $581,796,640)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Schwab Strategic Tr | US BRD MKT ETF | $65,057,291 | 2,591,924 | 11.2% | 8.84% |
| 2 | Ishares Tr | INTRM GOV CR ETF | $54,200,618 | 508,067 | 9.32% | 7.37% |
| 3 | Apple Inc | COM | $22,285,194 | 87,810 | 3.83% | 3.03% |
| 4 | American Centy Etf Tr | INTL EQT ETF | $21,059,142 | 248,222 | 3.62% | 2.86% |
| 5 | Alphabet Inc | CAP STK CL A | $21,036,246 | 73,154 | 3.62% | 2.86% |
| 6 | Nvidia Corporation | COM | $19,847,632 | 113,805 | 3.41% | 2.7% |
| 7 | Microsoft Corp | COM | $16,230,765 | 43,847 | 2.79% | 2.21% |
| 8 | Ishares Tr | CORE US AGGBD ET | $15,315,779 | 154,284 | 2.63% | 2.08% |
| 9 | Ishares Tr | ISHS 1-5YR INVS | $12,218,666 | 232,471 | 2.1% | 1.66% |
| 10 | Amazon Com Inc | COM | $12,207,550 | 58,614 | 2.1% | 1.66% |
| 11 | Jpmorgan Chase & Co | COM | $10,529,796 | 35,796 | 1.81% | 1.43% |
| 12 | Select Sector Spdr Tr | STATE STREET ENE | $9,242,090 | 150,867 | 1.59% | 1.26% |
| 13 | Rtx Corporation | COM | $8,633,508 | 44,756 | 1.48% | 1.17% |
| 14 | Ge Vernova Inc | COM | $8,378,971 | 9,599 | 1.44% | 1.14% |
| 15 | Meta Platforms Inc | CL A | $8,052,112 | 14,074 | 1.38% | 1.09% |
| 16 | Ishares Gold Tr | ISHARES NEW | $8,006,083 | 90,813 | 1.38% | 1.09% |
| 17 | Johnson & Johnson | COM | $7,657,625 | 31,327 | 1.32% | 1.04% |
| 18 | American Centy Etf Tr | AVANTIS EMGMKT | $7,606,628 | 94,398 | 1.31% | 1.03% |
| 19 | Ishares Tr | ISHS 5-10YR INVT | $7,421,473 | 139,449 | 1.28% | 1.01% |
| 20 | Broadcom Inc | COM | $7,199,888 | 23,262 | 1.24% | 0.98% |
| 21 | Exxon Mobil Corp | COM | $6,446,741 | 37,998 | 1.11% | 0.88% |
| 22 | Quanta Svcs Inc | COM | $6,328,555 | 11,527 | 1.09% | 0.86% |
| 23 | Fastly Inc | CL A | $6,190,507 | 213,025 | 1.06% | 0.84% |
| 24 | Ge Aerospace | COM NEW | $6,190,451 | 21,815 | 1.06% | 0.84% |
| 25 | Hewlett Packard Enterprise C | COM | $6,061,396 | 254,574 | 1.04% | 0.82% |
Top 25 of 135 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 243 | $121M | 16.5% |
| High net worth individuals | 107 | $417M | 56.7% |
| Pension and profit sharing plans | 4 | $190M | 25.8% |
| Charitable organizations | 4 | $6.6M | 0.9% |
| Corporations and other businesses | 2 | $405K | 0.06% |
People (10)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Carlson, David, Littlefield | Chairman | Apr 1989 (37y) | 25% – 50% | |
| James Roger Mullins | President/Cco | CFA | Aug 2001 (25y) | 50% – 75% |
| Carlson, Rosamond, Chenowith | Shareholder | Mar 2006 (20y) | 10% – 25% | |
| Joseph Michael Drinon | Registered representative | Jun 2014 (12y) | ||
| Richard Carl Habermann | Registered representative | May 2015 (11y) | ||
| Kyle Ian Fellers | Registered representative | Mar 2016 (10y) | ||
| Daniel F Bednarczyk | Registered representative | Jan 2021 (6y) | ||
| Alan Joseph Rattee | Registered representative | Apr 2024 (2y) | ||
| Maxwell Cyr Kemper | Registered representative | Dec 2025 (1y) | ||
| Kate T Graham | Registered representative | May 2026 (0y) |
Undisclosed: 0% – 15% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/13/2026 | 903 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Charles Schwab & Co. $507M (69% of AUM) Mar 2026
- Commerce Bank, N.A. $177M (24% of AUM) Mar 2026
- Fidelity Institutional Wealth Services $5.3M (1% of AUM) Sep 2024
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 13, 2026.
View current Form ADV (SEC/IAPD) ↗