LORD AND RICHARDS
LORD AND RICHARDS WEALTH MANAGEMENT, LLC Legal Name
Adviser information for LORD AND RICHARDS last updated from Form ADV on March 7th, 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 | Colorado, United States |
Employees
| Total Number of Employees | 14 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 5 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 921 | $75.4M |
| Non-Discretionary | 0 | $0 |
| Total | 921 | $75.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 496 | $66.7M |
| HNW Individuals | 65 | $8.7M |
| 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 | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-129213 |
|---|---|
| SEC ERA File Number | 801-129213 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 328907 |
| Legal Entity Identifier | None |
Principal Office
8744 LUCENT BLVDSUITE 100
HIGHLANDS RANCH
CO
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 720-214-6801, Fax: 719-342-6669
Chief Compliance Officer
JASON CHRISTOPHER VANDERPOL
CHIEF COMPLIANCE OFFICER
8744 LUCENT BLVD
SUITE 100
HIGHLANDS RANCH
CO
United States
Tel:
720-214-6801
Fax:
719-342-6669
J****@******************M
(Full email address available in API data)
Regulatory Contact
COLIN TIMOTHY RICHARDS
MANAGING MEMBER AND PRESIDENT
8744 LUCENT BLVD
SUITE 100
HIGHLANDS RANCH
CO
United States
Tel:
720-214-6801
Fax:
719-342-6669
C****@******************M
(Full email address available in API data)
Industry Affiliates
| LORD & RICHARDS, INC. | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| VANDER POL, JASON, CHRISTOPHER | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2023 | < 5% |
| RICHARDS, COLIN, TIMOTHY | Individual | – | MANAGING PARTNER AND PRESIDENT | 01/2020 | > 75% |
| Schoonover, Dylan, Loyall | Individual | – | CHIEF GROWTH OFFICER | 08/2023 | < 5% |
| Beers, Kari, Dawn | Individual | – | VP OF OPERATIONS | 02/2023 | < 5% |