CAUSEY DEMGEN & MOORE P.C.
Adviser information for CAUSEY DEMGEN & MOORE P.C. last updated from Form ADV on September 28th, 2023. 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 | JUNE |
| Legal Location | Colorado, United States |
Employees
| Total Number of Employees | 58 |
|---|---|
| Investment Advisory/Research | 9 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| 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 | 25 | $420.5M |
| Non-Discretionary | 524 | $15.4M |
| Total | 549 | $436.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 38 | $15.4M |
| HNW Individuals | 103 | $250.4M |
| 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 | 1 | $37.1M |
| State or municipal gov entities | 4 | $133.1M |
| 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 businessesPortfolio management for businesses or institutional clientsPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Accountant or accounting firm |
Identifiers
| SEC RIA File Number | 801-36051 |
|---|---|
| SEC ERA File Number | 801-36051 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 111115 |
| Legal Entity Identifier | None |
Principal Office
1099 18TH STREETSTE 2300
DENVER
CO
United States
Monday - Friday, 8:00 A.M. - 5:00 P.M.
Tel: 303-296-2229, Fax: 303-296-3731
Websites
Chief Compliance Officer
NATHANAEL A. KOCH
PRESIDENT
1099 18TH STREET
STE. 2300
DENVER
CO
United States
Tel:
303-296-2229
N****@*************M
(Full email address available in API data)
Regulatory Contact
ROBB A. STONE
VICE PRESIDENT
1099 18TH STREET
STE. 2300
DENVER
CO
United States
Tel:
303 296-2229
Fax:
303 296-3731
R*****@*************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 |
|---|---|---|---|---|---|
| VINCENT, WILLIAM, HANES | Individual | – | VICE PRESIDENT | 07/1999 | 5-10% |
| GRAEF, MICHAEL, CHRISTIAN | Individual | – | VICE PRESIDENT | 07/2006 | 5-10% |
| KOCH, NATHANAEL, ADAM | Individual | – | PRESIDENT & CHIEF COMPLIANCE OFFICER | 07/2018 | 5-10% |
| STONE, ROBB, ANDREW | Individual | – | VICE PRESIDENT | 07/2016 | < 5% |
| CAMP-CAVANAUGH, JAMEY, LYNN | Individual | – | VICE PRESIDENT | 07/2017 | 5-10% |
| FLEISCHMAN, RICHARD, JAMES | Individual | – | VICE PRESIDENT | 06/2019 | 5-10% |
| ZINK, COREY, JOHN | Individual | – | VICE PRESIDENT | 07/2018 | 5-10% |
| SCHNETZLER, ROBYN, TERRI | Individual | – | VICE PRESIDENT | 07/2018 | 5-10% |
| GREASER, JUSTIN, MICHAEL | Individual | – | VICE PRESIDENT | 07/2021 | < 5% |
| BORER, HEATH, ALAN | Individual | – | VICE PRESIDENT | 07/2021 | < 5% |