THREE POINTS FINANCIAL, INC.
Adviser information for THREE POINTS FINANCIAL, INC. last updated from Form ADV on March 8th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Colorado, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 258 | $119.2M |
| Total | 258 | $119.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 10 | $7.0M |
| HNW Individuals | 47 | $112.2M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | Fixed fees |
Identifiers
| SEC RIA File Number | 801-123334 |
|---|---|
| SEC ERA File Number | 801-123334 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 132897 |
| Legal Entity Identifier | None |
Principal Office
15455 GLENEAGLE DRIVE, STE 205COLORADO SPRINGS
CO
United States
MONDAY - THURSDAY, 8:30-5:30
Tel: 719-495-7163, Fax: 719-495-8852
Chief Compliance Officer
MARY ALPERS
PRESIDENT
15455 GLENEAGLE DRIVE
STE 205
COLORADO SPRINGS
CO
United States
Tel:
719-495-7163
M***@***********************M
(Full email address available in API data)
Regulatory Contact
LORI NEIDEL
OUTSIDE COMPLIANCE PROVIDER
910 E. BROADWAY
STE 204
COLUMBIA
MO
United States
Tel:
5734168076
L***@************************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ALPERS, MARY, REID | Individual | – | PRESIDENT/CHIEF COMPLIANCE OFFICER | 05/2006 | > 75% |