ROCKY MOUNTAIN PRIVATE WEALTH MANAGEMENT, L.L.C.
Adviser information for ROCKY MOUNTAIN PRIVATE WEALTH MANAGEMENT, L.L.C. last updated from Form ADV on March 20th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Texas, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 2 |
| 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 | 10 | $91.7M |
| Non-Discretionary | 0 | $0 |
| Total | 10 | $91.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $35.9M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 3 | $47.2M |
| Pension and profit sharing plans | <5 | $8.7M |
| 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 | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Principal Office
TOWN CENTER2245 TEXAS DRIVE, SUITE 300
SUGAR LAND
TX
United States
Monday - Friday, 8:30 AM - 4:30 PM
Tel: 281-778-4900, Fax: None
Websites
Chief Compliance Officer
TAYLOR L. GALLEGOS
VICE-PRESIDENT
TOWN CENTER
2245 TEXAS DRIVE, SUITE 300
SUGAR LAND
TX
United States
Tel:
281-778-4900
T*****@********M
(Full email address available in API data)
Regulatory Contact
GABRIEL GALLEGOS
PRESIDENT
TOWN CENTER
2245 TEXAS DRIVE, SUITE 300
SUGAR LAND
TX
United States
Tel:
281-778-4900
G***@********M
(Full email address available in API data)
Industry Affiliates
| GL ASSET MANAGEMENT, LP | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| RM DOMESTIC PARTNERS II, L.P. | Hedge Fund | $21.0M | $0.5M | 3 |
| RM DOMESTIC PARTNERS III, L.P. | Hedge Fund | $11.8M | $0.5M | 45 |
| RM DOMESTIC PARTNERS, L.P. | Hedge Fund | $14.4M | $0.5M | 49 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GALLEGOS, GABRIEL, STEVEN | Individual | – | PRESIDENT/SECRETARY | 04/2003 | 50-75% |
| GALLEGOS, TAYLOR, LEIGH | Individual | – | VICE PRESIDENT/CONTROLLER/CHIEF COMPLIANCE OFFICER | 10/2008 | 50-75% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed November 14th, 2016 for period ending September 30th, 2016
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| COMCAST CORP COM CL A | CL A | 55 | 840 | NONE |
| TEXAS INSTRUMENTS INC COM | COM | 14 | 201 | NONE |
| ORACLE CORP COM | COM | 7 | 200 | NONE |
| ARLINGTON ASSET INV CORP CLASS A COM | CL A NEW | 7 | 510 | NONE |
| HEWLETT PACKARD ENTERPRISE CO COM | COM | 7 | 331 | NONE |
| DU PONT E I DE NEMOURS & CO COM | COM | 6 | 100 | NONE |
| ALTRIA GROUP INC COM | COM | 6 | 100 | NONE |
| MICROCHIP TECHNOLOGY INC COM | COM | 6 | 100 | NONE |
| ZOETIS INC COM | CL A | 5 | 100 | NONE |
| HP INC COM | COM | 5 | 331 | NONE |
| AT&T INC COM | COM | 4 | 113 | NONE |
| GIBRALTAR STEEL CORP COM | COM | 3 | 100 | NONE |
| CHEVRON CORP COM | COM | 3 | 35 | NONE |
| PFIZER INC COM | COM | 3 | 100 | NONE |
| GENERAL ELECTRIC CO COM | COM | 2 | 100 | NONE |
| PITNEY BOWES INC COM | COM | 1 | 100 | NONE |
| ENERGY TRANSFER PARTNERS LP COM | UNIT LTD PARTN | 1 | 43 | NONE |
| VERINT SYSTEMS INC COM | COM | 1 | 38 | NONE |
| DISCOVER COMMUNICATIONS INC COM SER C | COM SER C | 0 | 30 | NONE |
| STERLING CONTRUCTION CO COM | COM | 0 | 100 | NONE |
| AVON PRODUCTS INC COM | COM | 0 | 100 | NONE |
| INNOVATIVE SOLUTIONS COM | COM | 0 | 150 | NONE |
| CHEMOURS CO LLC COM | COM | 0 | 20 | NONE |