WAMBOLT & ASSOCIATES, LLC
Adviser information for WAMBOLT & ASSOCIATES, LLC last updated from Form ADV on March 11th, 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 | 16 |
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Investment Advisory/Research | 10 |
Registered Broker-Dealer Representatives | 0 |
Registered State Investment Advisers | 10 |
Licensed Agents of an Insurance Company | 1 |
No. of Firms/People that Solicit Clients | 0 |
RAUM
Provides Management of Securities Portfolios | Yes |
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Type | Accounts | RAUM |
---|---|---|
Discretionary | 1,844 | $548.2M |
Non-Discretionary | 5 | $16.6M |
Total | 1,849 | $564.7M |
Clients
Type | Number | RAUM |
---|---|---|
Individuals | 445 | $111.3M |
HNW Individuals | 174 | $418.2M |
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 | 14 | $14.8M |
Charitable organizations | <5 | $2.2M |
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 | 11 | $10.1M |
Other | <5 | $8.1M |
Type | Number |
---|---|
No. of Non-RAUM Clients | 0 |
No. of Non-U.S. Clients | 1 |
No. of Financial Planning Clients | 0 |
Services
Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
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Compensation | % of AUMHourly chargesFixed fees |
Principal Office
13976 W. BOWLES AVENUESTE. 200
LITTLETON
CO
United States
Monday - Friday, 8AM TO 5PM
Tel: 720-962-6700, Fax: 720-962-6777
Chief Compliance Officer
GREG WAMBOLT
OWNER, SENIOR WEALTH MANAGEMENT ADVISOR
13976 W. BOWLES AVENUE
STE. 200
LITTLETON
CO
United States
Tel:
720-962-6700
G***********@****************M
(Full email address available in API data)
Regulatory Contact
SCOTT KIRKPATRICK
CONTROLLER
13980 W. BOWLES AVE.
STE. 100
LITTLETON
CO
United States
Tel:
720-962-6700
Fax:
720-962-6777
S****************@*****************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 |
---|---|---|---|---|---|
WAMBOLT, GREGORY, ALAN | Individual | – | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | 06/2010 | > 75% |
ALVAREZ, CYNTHIA, DIANE | Individual | – | SHAREHOLDER | 01/2022 | 5-10% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 7th, 2024 for period ending June 30th, 2024
Name | Class | Value $USD | # Shares | Private Fund |
---|---|---|---|---|
ABBVIE INC | COM | 5M | 28K | – |
ACCENTURE PLC IRELAND | SHS CLASS A | 656K | 2K | – |
ADOBE INC | COM | 790K | 1K | – |
AIR PRODS & CHEMS INC | COM | 339K | 1K | – |
ALPHABET INC | CAP STK CL A | 3M | 14K | – |
ALPHABET INC | CAP STK CL C | 8M | 42K | – |
ALPS ETF TR | INTL SEC DV DOG | 425K | 14K | – |
ALTRIA GROUP INC | COM | 277K | 6K | – |
AMAZON COM INC | COM | 7M | 35K | – |
AMPHENOL CORP NEW | CL A | 777K | 12K | – |
APOLLO GLOBAL MGMT INC | COM | 349K | 3K | – |
APPLE INC | COM | 18M | 83K | – |
ARCHER DANIELS MIDLAND CO | COM | 1M | 19K | – |
ARES CAPITAL CORP | COM | 5M | 232K | – |
ARROW ELECTRS INC | COM | 1M | 9K | – |
AT&T INC | COM | 209K | 11K | – |
AUTODESK INC | COM | 390K | 2K | – |
AUTOMATIC DATA PROCESSING IN | COM | 290K | 1K | – |
AUTOZONE INC | COM | 232K | 82 | – |
AVALONBAY CMNTYS INC | COM | 1M | 7K | – |
BANK AMERICA CORP | 7.25%CNV PFD L | 568K | 485 | – |
BANK AMERICA CORP | COM | 601K | 15K | – |
BERKSHIRE HATHAWAY INC DEL | CL B NEW | 7M | 16K | – |
BEST BUY INC | COM | 228K | 3K | – |
BLACKROCK INC | COM | 595K | 760 | – |
BLACKSTONE INC | COM | 3M | 28K | – |
BOOKING HOLDINGS INC | COM | 897K | 231 | – |
BROADCOM INC | COM | 596K | 363 | – |
BROADRIDGE FINL SOLUTIONS IN | COM | 441K | 2K | – |
CADENCE DESIGN SYSTEM INC | COM | 4M | 12K | – |
CANADIAN NATL RY CO | COM | 2M | 15K | – |
CBOE GLOBAL MKTS INC | COM | 2M | 10K | – |
CHENIERE ENERGY PARTNERS LP | COM UNIT | 201K | 4K | – |
CHEVRON CORP NEW | COM | 2M | 11K | – |
CINTAS CORP | COM | 307K | 443 | – |
COCA COLA CO | COM | 314K | 5K | – |
COLGATE PALMOLIVE CO | COM | 390K | 4K | – |
CONOCOPHILLIPS | COM | 3M | 27K | – |
CONSTELLATION BRANDS INC | CL A | 331K | 1K | – |
COPART INC | COM | 494K | 9K | – |
CORNING INC | COM | 244K | 6K | – |
CORPAY INC | COM SHS | 263K | 989 | – |
CORTEVA INC | COM | 2M | 34K | – |
COSTCO WHSL CORP NEW | COM | 5M | 6K | – |
DARDEN RESTAURANTS INC | COM | 330K | 2K | – |
DELTA AIR LINES INC DEL | COM NEW | 276K | 6K | – |
DIREXION SHS ETF TR | NAS100 EQL WGT | 2M | 27K | – |
DOLLAR GEN CORP NEW | COM | 212K | 2K | – |
DUKE ENERGY CORP NEW | COM NEW | 368K | 4K | – |
EATON CORP PLC | SHS | 4M | 14K | – |
ELI LILLY & CO | COM | 2M | 2K | – |
EMERSON ELEC CO | COM | 477K | 4K | – |
ENPHASE ENERGY INC | COM | 692K | 7K | – |
ENTERPRISE PRODS PARTNERS L | COM | 308K | 11K | – |
EVERCORE INC | CLASS A | 2M | 8K | – |
EXXON MOBIL CORP | COM | 1M | 11K | – |
FISERV INC | COM | 419K | 3K | – |
GODADDY INC | CL A | 351K | 2K | – |
GOLDMAN SACHS GROUP INC | COM | 379K | 818 | – |
GRACO INC | COM | 249K | 3K | – |
HOME DEPOT INC | COM | 1M | 3K | – |
HONEYWELL INTL INC | COM | 2M | 12K | – |
IDEXX LABS INC | COM | 201K | 421 | – |
INTERNATIONAL BUSINESS MACHS | COM | 330K | 2K | – |
INTUIT | COM | 6M | 9K | – |
INTUITIVE SURGICAL INC | COM NEW | 431K | 987 | – |
INVESCO EXCH TRADED FD TR II | PFD ETF | 135K | 12K | – |
INVESCO EXCH TRADED FD TR II | S&P500 LOW VOL | 382K | 6K | – |
INVESCO EXCH TRADED FD TR II | SR LN ETF | 865K | 41K | – |
INVESCO EXCH TRD SLF IDX FD | BULSHS 2026 CB | 196K | 10K | – |
INVESCO EXCH TRD SLF IDX FD | BULSHS 2027 CB | 196K | 10K | – |
INVESCO EXCH TRD SLF IDX FD | INVSCO BLSH 28 | 202K | 10K | – |
INVESCO EXCHANGE TRADED FD T | AEROSPACE DEFN | 2M | 16K | – |
INVESCO EXCHANGE TRADED FD T | S&P500 EQL WGT | 782K | 5K | – |
INVESCO EXCHANGE TRADED FD T | S&P500 PUR GWT | 499K | 13K | – |
INVESCO EXCHANGE TRADED FD T | S&P500 PUR VAL | 473K | 6K | – |
INVESCO QQQ TR | UNIT SER 1 | 306K | 634 | – |
IRON MTN INC DEL | COM | 844K | 9K | – |
ISHARES INC | FRONTIER AND SEL | 258K | 9K | – |
ISHARES INC | MSCI EMRG CHN | 8M | 138K | – |
ISHARES TR | 0-5YR HI YL CP | 1M | 25K | – |
ISHARES TR | 10+ YR INVST GRD | 1M | 22K | – |
ISHARES TR | COHEN STEER REIT | 709K | 12K | – |
ISHARES TR | CORE HIGH DV ETF | 271K | 3K | – |
ISHARES TR | CORE S&P500 ETF | 471K | 858 | – |
ISHARES TR | EAFE GRWTH ETF | 2M | 19K | – |
ISHARES TR | EAFE VALUE ETF | 619K | 12K | – |
ISHARES TR | ISHS 1-5YR INVS | 859K | 17K | – |
ISHARES TR | ISHS 5-10YR INVT | 1000K | 20K | – |
ISHARES TR | MSCI INDIA ETF | 407K | 7K | – |
ISHARES TR | SELECT DIVID ETF | 737K | 6K | – |
ISHARES TR | TIPS BD ETF | 364K | 3K | – |
JOHNSON & JOHNSON | COM | 3M | 18K | – |
JPMORGAN CHASE & CO. | COM | 2M | 9K | – |
KROGER CO | COM | 3M | 61K | – |
LAM RESEARCH CORP | COM | 281K | 265 | – |
LEIDOS HOLDINGS INC | COM | 2M | 13K | – |
LOWES COS INC | COM | 1M | 5K | – |
LYONDELLBASELL INDUSTRIES N | SHS - A - | 2M | 25K | – |
MAIN STR CAP CORP | COM | 4M | 82K | – |
MANULIFE FINL CORP | COM | 2M | 93K | – |
MARKEL GROUP INC | COM | 378K | 240 | – |
MARTIN MARIETTA MATLS INC | COM | 229K | 430 | – |
MASTERCARD INCORPORATED | CL A | 5M | 10K | – |
MCCORMICK & CO INC | COM NON VTG | 2M | 26K | – |
MCDONALDS CORP | COM | 3M | 11K | – |
MERCK & CO INC | COM | 470K | 4K | – |
META PLATFORMS INC | CL A | 1M | 3K | – |
METLIFE INC | COM | 491K | 7K | – |
MICROSOFT CORP | COM | 14M | 31K | – |
MONDELEZ INTL INC | CL A | 3M | 39K | – |
NAPCO SEC TECHNOLOGIES INC | COM | 454K | 9K | – |
NATIONAL GRID PLC | SPONSORED ADR NE | 2M | 30K | – |
NEXTERA ENERGY INC | COM | 342K | 5K | – |
NIKE INC | CL B | 260K | 3K | – |
NOVARTIS AG | SPONSORED ADR | 3M | 30K | – |
NOVO-NORDISK A S | ADR | 5M | 33K | – |
NUCOR CORP | COM | 239K | 2K | – |
NUTRIEN LTD | COM | 213K | 4K | – |
NVIDIA CORPORATION | COM | 13M | 101K | – |
OLD DOMINION FREIGHT LINE IN | COM | 3M | 14K | – |
ON SEMICONDUCTOR CORP | COM | 2M | 27K | – |
ORACLE CORP | COM | 630K | 4K | – |
ORIX CORP | SPONSORED ADR | 2M | 20K | – |
PALO ALTO NETWORKS INC | COM | 4M | 11K | – |
PAYCHEX INC | COM | 394K | 3K | – |
PENNANTPARK FLOATING RATE CA | COM | 117K | 10K | – |
PEPSICO INC | COM | 3M | 21K | – |
PFIZER INC | COM | 421K | 15K | – |
PHILIP MORRIS INTL INC | COM | 710K | 7K | – |
PROCTER AND GAMBLE CO | COM | 4M | 26K | – |
PROGRESSIVE CORP | COM | 4M | 19K | – |
PROLOGIS INC. | COM | 2M | 22K | – |
PROSPERITY BANCSHARES INC | COM | 4M | 66K | – |
PRUDENTIAL FINL INC | COM | 3M | 24K | – |
PUBLIC STORAGE OPER CO | COM | 1M | 5K | – |
QUEST DIAGNOSTICS INC | COM | 1M | 11K | – |
REGIONS FINANCIAL CORP NEW | COM | 2M | 90K | – |
ROYAL BK CDA | COM | 3M | 24K | – |
RTX CORPORATION | COM | 883K | 9K | – |
RUSH ENTERPRISES INC | CL A | 1M | 24K | – |
S&P GLOBAL INC | COM | 555K | 1K | – |
SALESFORCE INC | COM | 264K | 1K | – |
SAP SE | SPON ADR | 211K | 1K | – |
SCHWAB STRATEGIC TR | FUNDAMENTAL INTL | 4M | 118K | – |
SCIENCE APPLICATIONS INTL CO | COM | 1M | 10K | – |
SELECT SECTOR SPDR TR | RL EST SEL SEC | 345K | 9K | – |
SELECT SECTOR SPDR TR | SBI HEALTHCARE | 257K | 2K | – |
SHELL PLC | SPON ADS | 3M | 39K | – |
SHERWIN WILLIAMS CO | COM | 322K | 1K | – |
SIXTH STREET SPECIALTY LENDI | COM | 4M | 176K | – |
SMUCKER J M CO | COM NEW | 539K | 5K | – |
SPDR INDEX SHS FDS | MSCI ACWI EXUS | 525K | 19K | – |
SPDR S&P 500 ETF TR | TR UNIT | 2M | 3K | – |
SPDR S&P MIDCAP 400 ETF TR | UTSER1 S&PDCRP | 212K | 400 | – |
SPDR SER TR | PORTFOLIO S&P600 | 485K | 12K | – |
SPDR SER TR | PRTFLO S&P500 GW | 4M | 52K | – |
SPDR SER TR | PRTFLO S&P500 VL | 3M | 54K | – |
SPDR SER TR | S&P 400 MDCP GRW | 1M | 15K | – |
SPDR SER TR | S&P 400 MDCP VAL | 918K | 13K | – |
SPDR SER TR | S&P 600 SMCP GRW | 349K | 4K | – |
SPDR SER TR | S&P 600 SMCP VAL | 424K | 5K | – |
STARBUCKS CORP | COM | 245K | 3K | – |
STEEL DYNAMICS INC | COM | 2M | 19K | – |
SUN LIFE FINANCIAL INC. | COM | 323K | 7K | – |
SUPER MICRO COMPUTER INC | COM | 265K | 326 | – |
TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADS | 516K | 3K | – |
TESLA INC | COM | 761K | 4K | – |
TEXAS INSTRS INC | COM | 3M | 16K | – |
THE CIGNA GROUP | COM | 787K | 2K | – |
THERMO FISHER SCIENTIFIC INC | COM | 1M | 2K | – |
TJX COS INC NEW | COM | 751K | 7K | – |
T-MOBILE US INC | COM | 2M | 14K | – |
TOYOTA MOTOR CORP | ADS | 809K | 4K | – |
TRACTOR SUPPLY CO | COM | 257K | 961 | – |
TRANE TECHNOLOGIES PLC | SHS | 971K | 3K | – |
ULTA BEAUTY INC | COM | 777K | 2K | – |
UNILEVER PLC | SPON ADR NEW | 279K | 5K | – |
UNION PAC CORP | COM | 249K | 1K | – |
UNITED PARCEL SERVICE INC | CL B | 6M | 46K | – |
UNITEDHEALTH GROUP INC | COM | 4M | 8K | – |
VALERO ENERGY CORP | COM | 2M | 10K | – |
VALMONT INDS INC | COM | 1M | 5K | – |
VANECK ETF TRUST | BDC INCOME ETF | 554K | 33K | – |
VANGUARD INDEX FDS | GROWTH ETF | 237K | 629 | – |
VANGUARD INDEX FDS | MCAP GR IDXVIP | 2M | 7K | – |
VANGUARD INDEX FDS | MCAP VL IDXVIP | 2M | 12K | – |
VANGUARD INDEX FDS | MID CAP ETF | 571K | 2K | – |
VANGUARD INDEX FDS | SM CP VAL ETF | 496K | 3K | – |
VANGUARD INDEX FDS | SMALL CP ETF | 6M | 30K | – |
VANGUARD INDEX FDS | SML CP GRW ETF | 424K | 2K | – |
VANGUARD MUN BD FDS | TAX EXEMPT BD | 355K | 7K | – |
VERIZON COMMUNICATIONS INC | COM | 2M | 56K | – |
VISA INC | COM CL A | 6M | 21K | – |
WALMART INC | COM | 5M | 68K | – |
WASTE MGMT INC DEL | COM | 4M | 20K | – |
WELLS FARGO CO NEW | PERP PFD CNV A | 567K | 480 | – |
WELLTOWER INC | COM | 2M | 16K | – |
WEYERHAEUSER CO MTN BE | COM NEW | 916K | 33K | – |
WILLIAMS SONOMA INC | COM | 434K | 2K | – |
WISDOMTREE TR | US SMALLCAP DIVD | 320K | 10K | – |
WP CAREY INC | COM | 338K | 6K | – |
ZEBRA TECHNOLOGIES CORPORATI | CL A | 288K | 939 | – |