MONTICELLO ASSOCIATES INC
Adviser information for MONTICELLO ASSOCIATES INC last updated from Form ADV on March 27th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 57 |
|---|---|
| Investment Advisory/Research | 28 |
| 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 | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 219 | $0 |
| 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 | 15 | $0 |
| Charitable organizations | 160 | $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 | <5 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 396 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Pension consulting servicesSelection of other advisers (including private fund managers)GENERAL ASSET MANAGEMENT CONSULTING SERVICES |
|---|---|
| Compensation | Fixed feesPERCENTAGE OF ASSETS UNDER ADVISEMENT |
Identifiers
| SEC RIA File Number | 801-51758 |
|---|---|
| SEC ERA File Number | 801-51758 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 107392 |
| Legal Entity Identifier | None |
Principal Office
1800 LARIMER STREETSUITE 2100
DENVER
CO
United States
Monday - Friday, 8:00 A.M. - 5:00 P.M.
Tel: 303-572-6300, Fax: 303-572-6305
Chief Compliance Officer
JENNIFER A KERR
CHIEF COMPLIANCE OFFICER
1800 LARIMER STREET
SUITE 2100
DENVER
CO
United States
Tel:
303-328-2813
Fax:
303-328-2814
J****@***********************M
(Full email address available in API data)
Regulatory Contact
CRISTINA K HOTT
DIRECTOR-CLIENT SER/AD
1800 LARIMER STREET
SUITE 2100
DENVER
CO
United States
Tel:
303-572-6302
Fax:
303-476-2536
C****@***********************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 |
|---|---|---|---|---|---|
| HALVORSEN, STEVEN, ERIK | Individual | – | MANAGING DIRECTOR | 03/2001 | 5-10% |
| ZIMMERMAN, KEVIN, ANDREW | Individual | – | MANAGING DIRECTOR | 01/2006 | 5-10% |
| SWARTZ, TERESA, ANN | Individual | – | VICE PRESIDENT - CHIEF FINANCIAL OFFICER | 01/2021 | < 5% |
| SULLIVAN, PATRICK, FRANCIS | Individual | – | SENIOR MANAGING DIRECTOR | 01/2007 | 10-25% |
| SLETTEN, JEFFREY, DEAN | Individual | – | MANAGING DIRECTOR | 01/2009 | 5-10% |
| DURHAM, BRENTON, GRADY | Individual | – | EXECUTIVE CHAIRMAN | 04/2021 | 50-75% |
| HARRIGAN, BRIAN, PATRICK | Individual | – | MANAGING DIRECTOR | 01/2013 | 5-10% |
| Terborgh, Andrew, George | Individual | – | SENIOR MANAGING DIRECTOR | 01/2017 | 5-10% |
| ADAMS, AMANDA, LOUISE | Individual | – | MANAGING DIRECTOR - DIRECTOR OF RESEARCH | 01/2018 | < 5% |
| HAYS, WESTLEY, MORGAN | Individual | – | MANAGING DIRECTOR | 01/2018 | < 5% |
| KERR, JENNIFER, ANN | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2018 | < 5% |
| DOYLE, WILLIAM, CHRISTOPHER | Individual | – | MANAGING DIRECTOR | 01/2020 | < 5% |
| KRAWCZAK, JOSEPH, VINCENT | Individual | – | MANAGING DIRECTOR | 01/2023 | < 5% |
| HOWARD, WILLIAM, C | Individual | – | MANAGING DIRECTOR | 01/2023 | < 5% |
| HARVAN III, JOHN, EDWARD | Individual | – | MANAGING DIRECTOR | 01/2023 | < 5% |