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Adviser Profile

As of Date 05/26/2026
Registration SEC, Approved, 05/17/1991
ADV Location GREENWOOD VILLAGE, CO, United States
Contact Info 303 xxxxxxx
Websites
AUM* 875,902,913 22%
of that, discretionary 875,902,913 22%
Number of Employees 14
of those in investment advisory functions 5
Private Fund GAV* 0
Avg Account Size 2,949,168 73%
% High Net Worth 2.36% -10%
SMA’s Yes
Private Funds 0

Adviser Type

- Large advisory firm
- An investment adviser (or subadviser) to an investment company

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Investment companies

Advisory Activities

- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for businesses

Compensation Arrangments

- A percentage of assets under your management

Reported AUM

2B 2B 2B 1B 1B 714M 357M
2015 2016 2017 2018 2019 2020 2021 2022 2023 2024 2025 2026
Discretionary
Non-discretionary

Private Funds

No private funds

Employees

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Top Holdings

Stock Ticker Stock Name $ Position % Position $ Change # Change
Stck Ticker67072T108 Stock NameNUVEEN FLOATING RATE INCOME $ Position$12,910,028 % Position3.00% $ Change-3.00% # Change1.00%
Stck TickerG7997R103 Stock NameSEAGATE TECHNOLOGY HLDNGS PL $ Position$11,346,545 % Position3.00% $ Change-6.00% # Change-34.00%
Stck Ticker718546104 Stock NamePHILLIPS 66 $ Position$9,731,509 % Position2.00% $ Change41.00% # Change0.00%
Stck Ticker636180101 Stock NameNATIONAL FUEL GAS CO $ Position$6,579,831 % Position2.00% $ Change-11.00% # Change-24.00%
Stck Ticker46625H100 Stock NameJPMORGAN CHASE & CO. $ Position$6,965,709 % Position2.00% $ Change-9.00% # Change0.00%
Stck Ticker50212V100 Stock NameLPL FINL HLDGS INC $ Position$8,648,261 % Position2.00% $ Change-16.00% # Change0.00%
Stck Ticker060505682 Stock NameBANK AMERICA CORP $ Position$8,541,436 % Position2.00% $ Change33.00% # Change39.00%
Stck Ticker163851108 Stock NameCHEMOURS CO $ Position$6,840,645 % Position2.00% $ Change87.00% # Change0.00%
Stck Ticker156431108 Stock NameCENTURY ALUM CO $ Position$10,165,108 % Position2.00% $ Change7.00% # Change-28.00%
Stck Ticker25960R105 Stock NameDOUGLAS DYNAMICS INC $ Position$8,716,839 % Position2.00% $ Change # Change

Brochure Summary