Hedge Fund Database

A & I WEALTH MANAGEMENT

A & I FINANCIAL SERVICES, LLC Legal Name

Adviser information for A & I WEALTH MANAGEMENT last updated from Form ADV on March 9th, 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 13
Investment Advisory/Research 13
Registered Broker-Dealer Representatives 11
Registered State Investment Advisers 11
Licensed Agents of an Insurance Company 11
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 1,369 $369.4M
Non-Discretionary 414 $42.7M
Total 1,783 $412.1M

Clients

Type Number RAUM
Individuals 413 $140.4M
HNW Individuals 127 $268.4M
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 <5 $1.4M
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 $1.9M
Other 0 $0
Type Number
No. of Non-RAUM Clients 3
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 1-10

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)
Compensation % of AUMFixed feesSOLICITOR/REFERRAL FEES
Other Business Activities Registered representative of a broker-dealerInsurance broker or agent

Identifiers

SEC RIA File Number 801-69819
SEC ERA File Number 801-69819
SEC CIK Numbers 1728031
SEC CRD Numbers 148357
Legal Entity Identifier None

Principal Office

9605 KINGSTON COURT
SUITE 190
LONE TREE
CO
United States
Monday - Friday, 8:00 AM TO 5:00 PM
Tel: 303-690-5070, Fax: 303-699-8945

Websites

www.linkedin.com/company/578939/ www.gotaxfreebook.com www.facebook.com/aandifinancialservices www.assetsandincome.com/ www.youtube.com/channel/ucakfq8mzv3z0alab7jx_rqa

Chief Compliance Officer

SHARON GASPAR
CHIEF COMPLIANCE OFFICER
9605 KINGSTON COURT
STE. 190
LONE TREE
CO
United States
Tel: 303-690-5070
Fax: 303-699-8945
(Full email address available in API data)

Regulatory Contact

KARL FRANK
9605 KINGSTON COURT
SUITE 190
LONE TREE
CO
United States
Tel: 303-690-5070
Fax: 303-699-8945
(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
FRANK, KARL, FREDRICK Individual A & I HOLDINGS, LLC MEMBER 01/2018 50-75%
FRANK, KARL, FREDRICK Individual – MANAGER 08/2004 < 5%
FRANK, STACEY, KATRINA Individual – MANAGER 08/2004 < 5%
A & I HOLDINGS, LLC Domestic Entity – MEMBER 01/2018 > 75%
FRANK, STACEY, KATRINA Individual A & I HOLDINGS, LLC MEMBER 01/2018 50-75%
GASPAR, SHARON, ANN Individual – CHIEF COMPLIANCE OFFICER 01/2023 < 5%

No. Employees, Historic

2010020192020202120222023202420258 on 8/15/201910 on 2/29/202010 on 5/17/202010 on 6/26/202010 on 11/5/202010 on 1/4/202110 on 3/29/202110 on 7/1/202110 on 9/9/202110 on 11/11/202110 on 1/28/202210 on 3/28/202210 on 6/10/202210 on 7/20/202210 on 10/13/202210 on 1/11/202310 on 2/2/202310 on 3/3/202310 on 7/11/202310 on 10/26/202310 on 1/10/202413 on 3/9/2024

RAUM, Historic

500M250M02019202020212022202320242025237394859 on 8/15/2019344556353 on 2/29/2020344556353 on 5/17/2020344556353 on 6/26/2020344556353 on 11/5/2020344556353 on 1/4/2021421897882 on 3/29/2021421897882 on 7/1/2021421897882 on 9/9/2021418906311 on 11/11/2021418906311 on 1/28/2022455902748 on 3/28/2022455902748 on 6/10/2022455902748 on 7/20/2022455902748 on 10/13/2022455902748 on 1/11/2023455902748 on 2/2/2023367538360 on 3/3/2023367538360 on 7/11/2023367538360 on 10/26/2023367538360 on 1/10/2024412095862 on 3/9/2024

No. Clients, Historic

60030002019202020212022202320242025483 on 8/15/2019563 on 2/29/2020563 on 5/17/2020563 on 6/26/2020563 on 11/5/2020563 on 1/4/2021581 on 3/29/2021581 on 7/1/2021581 on 9/9/2021578 on 11/11/2021578 on 1/28/2022537 on 3/28/2022537 on 6/10/2022537 on 7/20/2022537 on 10/13/2022537 on 1/11/2023537 on 2/2/2023543 on 3/3/2023543 on 7/11/2023543 on 10/26/2023543 on 1/10/2024540 on 3/9/2024

Holdings

From latest 13F, filed October 9th, 2019 for period ending September 30th, 2019
Name Class Value $USD # Shares Private Fund
J P MORGAN CHASE & CO COM C 228 2K –
HOME DEPOT INC. C 230 990 –
AT&T INC COM C 232 6K –
ISHARES TRUST ETF 240 4K –
APPLE COMPUTER INC COM C 251 1K –
FS KKR CAPITAL COPORATION C 256 44K –
DISNEY (WALT) CO C 315 2K –
ISHARES CORE S&P 500 ETF ETF 338 1K –
AMAZON.COM, INC C 512 295 –
CHEMOURS CO COM C 1K 91K –
VANGUARD INTL EQUITY INDEX FDS FTSE EMERGING MKTS ETF 2K 39K –
VANGUARD TAX MANAGED INTL FD MSCI ETF 2K 39K –
LIBERTY OILFIELD SVCS INC C 2K 189K –
NORDSTROM INC C 2K 65K –
HP INC COM C 2K 126K –
INTERNATIONAL PAPER C 2K 58K –
PRUDENTIAL FINANCIAL INC C 3K 28K –
CARDINAL HEALTH, INC. C 3K 54K –
FORD MOTOR COMPANY C 3K 304K –
ISHARES CORE S&P TOTAL US STOCK MARKET ETF ETF 3K 44K –
AES CORPORATION C 3K 184K –
SYSCO CORP C 3K 41K –
SEAGATE TECHNOLOGY PLS SHS ISIN#IE00B58JVZ52 C 3K 62K –
ISHARES TR BARCLAYS 7-10 YR TREAS BD ETF ETF 5K 48K –
SPDR S&P 500 ETF TR TR UNIT ETF 25K 84K –