Gordon Carlson & Associates
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$78,154,839
Clients
323
Advisors
2
of 2 employees
About
Gordon Carlson & Associates serves individuals (including high-net-worth clients), trusts, estates, pension and profit‑sharing plans, charitable organizations, and businesses with portfolio management, financial planning, and pension consulting. The firm’s services cover a wide range of instruments, including mutual funds, ETFs, equities, bonds, options, annuities, private equity, and real estate, and it also provides insurance-related advice through its advisory practice.
The firm offers both discretionary and non‑discretionary portfolio management and may implement strategies ranging from long‑term buy-and-hold to short‑term trading, short sales, and various options strategies; it may also refer clients to third‑party advisers for outsourced portfolio management. The brochure describes a fundamental analytical approach and discloses that client accounts may at times use borrowing (margin) and that accounts are monitored periodically and reviewed upon client request or triggering events.
Notable operational features disclosed in the brochure include an affiliated residential and commercial real estate brokerage, Results Advisors, Inc., in which the firm’s principal has an ownership interest and to which clients may be referred, and the principal’s activity as a licensed insurance agent/broker who may receive commissions for insurance sales. The firm also discloses arrangements to receive portions of third‑party adviser fees, a meaningful share of assets managed on a non‑discretionary basis and acceptance of client‑directed brokerage in limited cases, and it does not vote client proxies.
Client services
Expertise
Fee options
Flat fees payable monthly in arrears, may vary and are negotiable; up to 2.5% annually of market value billed monthly in arrears for portfolio management
Typically $250 per hour, negotiable depending on client complexity
Fee-only: Hourly fee generally $250 per hour, negotiable; flat fees may be negotiated and vary by client
Main office
Indio CA
Advisors at this office
2
Most active in
California
Also doing business as
Elm Money Management LLC · Gordon Carlson & Associates
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Is not active or affiliated with:
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Advisors at this firm
Sean D
Series 63, Series 65
Indio, CA
Gordon Carlson & Associates
Sean Dignan is a financial advisor with Gordon Carlson & Associates, holding Series 63 and Series 65 licenses and bringing 35 years of industry experience. His prior roles include positions at Elm Money Management, SRD Capital Management, and Acorns Adviser, among others. Outside of advising, he works as a driver for Uber Technologies. Gordon Carlson & Associates provides portfolio management, financial planning, and pension consulting services to individuals, trusts, estates, pension and profit-sharing plans, charitable organizations, and businesses. The firm offers a range of investment strategies and instruments, including mutual funds, ETFs, equities, bonds, options, and private equity, and incorporates both discretionary and non-discretionary management approaches.
Gordon C
CFP®, Series 63, Series 65
Indio, CA
Gordon Carlson & Associates
Gordon Carlson is a CFP® professional with 20 years of industry experience and is the principal of Gordon Carlson & Associates, operating under Elm Money Management, LLC since 2009. He holds Series 63 and Series 65 licenses and maintains an ownership interest in a real estate brokerage, RESULT$ ADVISORS, INC. Additionally, he holds a life insurance agent license in California. Gordon Carlson & Associates provides portfolio management, financial planning, and pension/profit-sharing consulting to a range of clients including individuals, high net worth clients, trusts, estates, charitable organizations, and businesses. The firm employs customized allocations based on client objectives and uses fundamental analysis with diverse strategies, managing accounts on both discretionary and non-discretionary bases.
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