RAUB BROCK CAPITAL MANAGEMENT, LP

Advisory Business

Type of Organization	Limited Partnership
Fiscal Year End	DECEMBER
Legal Location	California, United States

Employees

Total Number of Employees	9
Investment Advisory/Research	7
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	7
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	699	$510.4M
Non-Discretionary	6,338	$2.5B
Total	7,037	$3.1B

Clients

Type	Number	RAUM
Individuals	44	$26.7M
HNW Individuals	80	$234.4M
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	2	$17.1M
Charitable organizations	0	$0
State or municipal gov entities	0	$0
Other investment advisers	26	$2.8B
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	11-25

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients
Compensation	% of AUMHourly chargesFixed fees

Wrap Fee Program

Offers Wrap Fee Program	Yes

Acting As	RAUM
Sponsor	0
Portfolio Manager	55.3M
Both for Same	0

Portfolio Manager to Program	Sponsor
MANAGED ACCOUNT COMMAND	BNY MELLON ADVISORS, INC.

Identifiers

SEC RIA File Number	801-71732
SEC ERA File Number	801-71732
SEC CIK Numbers	None
SEC CRD Numbers	153994
Legal Entity Identifier	None

Principal Office

700 LARKSPUR LANDING CIRCLE
SUITE 240
LARKSPUR
CA
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic