INVESTMENT ADVISER DISCLOSURES
Carson Capital LLC
Last updated: March 2026

IMPORTANT DISCLAIMERS

Carson Capital LLC ("Carson Capital") is a Registered Investment Adviser in the State of Minnesota. Registration does not imply a certain level of skill or training. Carson Capital provides investment advisory and related services for clients nationally. Carson Capital will maintain all applicable registrations and licenses as required by the various states in which it conducts business, as applicable.

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Carson Capital renders individualized responses to persons in a particular state only after complying with all regulatory requirements, or pursuant to an applicable state exemption or exclusion.

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Carson Tax Advisors LLC ("CTA") is a separate but affiliated entity under common ownership that provides tax-advisory, preparation, and filing services under a separate engagement and governing terms. Each entity is solely responsible for its own services.

FORM ADV — DISCLOSURE BROCHURE

Our Disclosure Brochure (Form ADV Part 2A) and Brochure Supplements contain a summary of our business practices, fees, and backgrounds of our advisory personnel. We encourage all clients and prospective clients to read these documents.

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You may obtain a copy through any of the following:

• SEC Investment Adviser Public Disclosure: adviserinfo.sec.gov/firm/summary/314563

• On our website: carson.capital/adv

• By email: compliance@carson.capital

 

Carson Capital will provide all prospective clients with a copy of our current Form ADV Part 2A and the applicable Brochure Supplement prior to or at the time of entering into an advisory agreement.

RISK DISCLOSURE

Different types of investments involve varying degrees of risk. It should not be assumed that the future performance of any specific investment or investment strategy will be profitable or equal any historical performance level.

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Asset allocation may be used in an effort to manage risk and enhance returns. It does not guarantee a profit or protect against loss.

This website is intended to provide general information about Carson Capital and its services. It is not intended to constitute investment advice, an offering of securities, or a recommendation to invest. Information regarding investment services is provided solely to describe our investment philosophy and strategies.

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Market data and content on this website are based on generally available information believed to be reliable. Carson Capital does not guarantee accuracy. Any organizations mentioned are not affiliated with Carson Capital unless explicitly stated.

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It remains your responsibility to advise Carson Capital in writing of any changes in your personal or financial situation or investment objectives for the purpose of reviewing or revising our recommendations and services.

PERFORMANCE DISCLOSURE

Past performance is no guarantee of future results. Inherent in any investment is the potential for loss. Any financial plan projections, illustrations, or analyses are for informational purposes only and do not represent actual or guaranteed future results.

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Nothing on this website constitutes investment, legal, accounting, or tax advice, or a recommendation to buy, sell, or hold a security. You assume sole responsibility for evaluating the merits and risks of any information on this website before making financial decisions.

TAX & LEGAL DISCLOSURES

Carson Capital LLC and its representatives do not provide tax or legal advice in their capacity as investment advisers. Carson Tax Advisors LLC, a separate but affiliated entity, provides tax-advisory, preparation, and filing services under a separate engagement.

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Your tax and financial situation is unique. You should consult your tax and/or legal adviser for advice specific to your circumstances.

BROKERAGE SERVICES

Brokerage services are provided to Carson Capital clients by Charles Schwab & Co., Inc. and Altruist Financial LLC, each an SEC-registered broker-dealer and member FINRA/SIPC.

BUSINESS CONTINUITY

Carson Capital maintains a Business Continuity Plan designed to ensure continued client service in the event of a significant business disruption, including natural disasters, technology failures, or other unforeseen events. The plan addresses data backup and recovery, alternate communication methods, and client account access continuity.

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Clients may request a summary of our Business Continuity Plan by contacting compliance@carson.capital.

EMAIL DISCLOSURES

Carson Capital communicates with clients and prospective clients through email and other electronic means. We remind clients not to send sensitive information — including Social Security Numbers, account numbers, or passwords — via unencrypted email. Secure document upload is available upon request.

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As a Registered Investment Adviser, Carson Capital emails may be subject to inspection by our Chief Compliance Officer or securities regulators. If you have received an email from Carson Capital in error, please notify the sender immediately and delete the message.

SOCIAL MEDIA

Carson Capital may maintain a presence on LinkedIn, Instagram, and other social platforms. All interactions on these platforms are considered subject to securities advertising regulations. Content is retained and subject to review by our Chief Compliance Officer or securities regulators.

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Information on social media is for educational and informational purposes only and does not constitute investment advice. Content that includes AI-assisted elements is reviewed for accuracy and compliance before publication.

TECHNOLOGY & AI TOOLS

Carson Capital and Carson Tax Advisors use select third-party and AI-assisted technologies for document exchange, scheduling, note-taking, financial planning, and workflow. We conduct vendor due diligence before deployment, limit data sharing to what is necessary to provide services, and do not permit client non-public personal information to be used to train public AI models.

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Questions about specific tools may be directed to compliance@carson.capital.

AFFILIATE NOTICE

Carson Capital LLC and Carson Tax Advisors LLC are separate legal entities under common ownership. Each maintains its own engagement agreements, fee schedules, and service responsibilities. The existence of an affiliated relationship does not eliminate conflicts of interest. Clients are not required to engage CTA for tax services in connection with their investment advisory relationship with Carson Capital.

CONTACT

Compliance inquiries: compliance@carson.capital
General inquiries: hello@carson.capital
Phone: 615-558-4280

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Carson Capital LLC is a Registered Investment Adviser in the State of Minnesota.
Registration does not imply a certain level of skill or training.