AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $0.4 |
| Non-Discretionary | $2.0 |
| Total | $2.4 |
| Client | AUM |
|---|---|
| Retail | $0.5 |
| Pooled | $0.0 |
| Institutional | $1.9 |
| Total | $2.4 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 0 | $0.0 |
| Average Individual AUM | $0 | |
| HNW | 11 | $0.5 |
| Average HNW AUM | $45,917,552 | |
| Retail Total | 11 | $0.5 |
| Average Retail AUM | $45,917,552 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|---|---|
| CHARLES SCHWAB & CO., INC. | SAN FRANCISCO-CA-USA | $0.3 |
| FIDELITY BROKERAGE SERVICES LLC | SMITHFIELD-RI-USA | $0.3 |
| J.P. MORGAN SECURITIES LLC | NEW YORK-NY-USA | $0.3 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $2.4 |
| Retail SMA AUM | $0.5 |
| Institutional SMA AUM | $1.9 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 38% | $0.9 |
| Equity Non-Exch | 32% | $0.8 |
| Govt Agency | 4% | $0.1 |
| Municipal | 3% | $0.1 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 1% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 9% | $0.2 |
| Other Pools | 4% | $0.1 |
| Cash | 9% | $0.2 |
| Other | 0% | $0.0 |
| Total | 100% | $2.4 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
3 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| JOSEPH MICHAUD | DENVER | CO | S63|2006-01-20|S66|2010-12-21 | ||||||
| ERIN BAWA | DENVER | CO | CHARTERED FINANCIAL ANALYST | ||||||
| GUANGYAN QIN | DENVER | CO | CHARTERED FINANCIAL ANALYST | ||||||
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-06-02 | $2.4 | $0.0 | 0% | 17 | 0 | 0% |
| 2025-04-21 | $2.4 | $0.0 | 0% | 17 | 0 | 0% |
| 2024-04-02 | $2.1 | $0.4 | 18% | 16 | 1 | 6% |
| 2023-04-04 | $1.8 | $0.6 | 35% | 15 | 2 | 13% |
| 2022-04-01 | $1.7 | $0.8 | 47% | 11 | 6 | 55% |
| 2021-04-05 | $1.4 | $1.0 | 74% | 9 | 8 | 89% |
| 2020-04-01 | $1.3 | $1.1 | 83% | 7 | 10 | 143% |
| 2019-04-01 | $1.2 | $1.3 | 112% | 7 | 10 | 143% |
| 2018-04-02 | $1.1 | $1.4 | 132% | 6 | 11 | 183% |
| 2017-04-01 | $1.0 | $1.4 | 141% | 7 | 10 | 143% |
| 2016-04-01 | $1.0 | $1.4 | 138% | 7 | 10 | 143% |
| 2015-04-01 | $1.2 | $1.2 | 100% | 10 | 7 | 70% |
| 2014-04-01 | $0.7 | $1.7 | 242% | 7 | 10 | 143% |
| 2013-04-01 | $0.2 | $2.3 | 1500% | 4 | 13 | 325% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| CO, CO-01/06/2012, TX-01/06/2012 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (POOLS) MANAGER SELECTION |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV