ASPEN GROVE CAPITAL, LLC
Adviser information for ASPEN GROVE CAPITAL, LLC last updated from Form ADV on March 29th, 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 | 20 |
|---|---|
| Investment Advisory/Research | 10 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 8 |
| 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 | 2,428 | $4.0B |
| Non-Discretionary | 190 | $1.2B |
| Total | 2,618 | $5.2B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 35 | $5.2B |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 2 | $34.9M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesSelection of other advisers (including private fund managers)BILL PAYING SERVICES |
|---|---|
| Compensation | % of AUMFixed fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
90 BENCHMARK ROADSUITE 201
AVON
CO
United States
Monday - Friday, 8:00 A.M. - 6:00 P.M.
Tel: 970-688-4188, Fax: 970-579-7144
Chief Compliance Officer
RICHARD GEISMAN
CHIEF FINANCIAL OFFICER
90 BENCHMARK ROAD
STE 201
AVON
CO
United States
Tel:
970-300-4327
Fax:
970-579-7144
R*******@****************M
(Full email address available in API data)
Regulatory Contact
JEFFREY C. KIRWOOD
MANAGING MEMBER
P.O. BOX 9389
AVON
CO
United States
Tel:
(970) 688-4188
Fax:
970-579-7144
J*******@****************M
(Full email address available in API data)
Industry Affiliates
| ASPEN GROVE CAPITAL PARTNERS, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| AGC BLOCKCHAIN, LLC | Hedge Fund | $10.3M | $0.0M | 17 |
| AGC KSLCP VI, LLC | Hedge Fund | $24.6M | $0.0M | 20 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| KIRWOOD, JEFFREY, CLAYTON | Individual | – | MANAGING MEMBER | 03/2011 | > 75% |
| GEISMAN, RICHARD, JESS | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2013 | 10-25% |
| ASPEN GROVE TRUST | Domestic Entity | – | MEMBER | 05/2017 | 10-25% |
| KIRWOOD, JEFFREY, CLAYTON | Individual | – | TRUSTEE OF ASPEN GROVE TRUST | 05/2017 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 14th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| 3M CO | COM | 51K | 500 | – |
| 3M CO | COM | 156K | 2K | – |
| ABBOTT LABS | COM | 272K | 3K | – |
| ABBVIE INC | COM | 310K | 2K | – |
| ACCENTURE PLC IRELAND | SHS CLASS A | 273K | 901 | – |
| ADOBE INC | COM | 319K | 575 | – |
| ADVANCED MICRO DEVICES INC | COM | 203K | 1K | – |
| ALIBABA GROUP HLDG LTD | SPONSORED ADS | 749K | 10K | – |
| ALPHABET INC | CAP STK CL A | 6M | 35K | – |
| ALPHABET INC | CAP STK CL C | 4M | 22K | – |
| ALPS ETF TR | ALERIAN MLP | 460K | 10K | – |
| ALPS ETF TR | SECTR DIV DOGS | 304K | 6K | – |
| AMAZON COM INC | COM | 9M | 47K | – |
| AMERICA MOVIL SAB DE CV | SPON ADS RP CL B | 239K | 14K | – |
| AMGEN INC | COM | 825K | 3K | – |
| ANALOG DEVICES INC | COM | 248K | 1K | – |
| AON PLC | SHS CL A | 237K | 808 | – |
| APPLE INC | COM | 13M | 64K | – |
| ASE TECHNOLOGY HLDG CO LTD | SPONSORED ADS | 449K | 39K | – |
| ASML HOLDING N V | N Y REGISTRY SHS | 398K | 389 | – |
| ASTRAZENECA PLC | SPONSORED ADR | 467K | 6K | – |
| BANCO BILBAO VIZCAYA ARGENTA | SPONSORED ADR | 195K | 19K | – |
| BANCO SANTANDER S.A. | ADR | 201K | 43K | – |
| BANK AMERICA CORP | COM | 2M | 55K | – |
| BANK NEW YORK MELLON CORP | COM | 2M | 35K | – |
| BAXTER INTL INC | COM | 408K | 12K | – |
| BERKSHIRE HATHAWAY INC DEL | CL A | 612K | 1 | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 2M | 5K | – |
| BLACKROCK INC | COM | 276K | 348 | – |
| BLACKSTONE INC | COM | 1M | 9K | – |
| BLADE AIR MOBILITY INC | CL A COM | 435K | 125K | – |
| BOOKING HOLDINGS INC | COM | 79M | 20K | – |
| BP PLC | SPONSORED ADR | 227K | 6K | – |
| BROADCOM INC | COM | 2M | 1K | – |
| CANADIAN PACIFIC KANSAS CITY | COM | 209K | 3K | – |
| CHEVRON CORP NEW | COM | 585K | 4K | – |
| CISCO SYS INC | COM | 319K | 7K | – |
| CLEAR SECURE INC | COM CL A | 513K | 27K | – |
| COCA COLA CO | COM | 278K | 4K | – |
| COINBASE GLOBAL INC | COM CL A | 757K | 3K | – |
| COMCAST CORP NEW | CL A | 381K | 10K | – |
| CONOCOPHILLIPS | COM | 332K | 3K | – |
| COSTCO WHSL CORP NEW | COM | 611K | 718 | – |
| CRESCENT CAP BDC INC | COM | 5M | 249K | – |
| DANAHER CORPORATION | COM | 1M | 5K | – |
| DBX ETF TR | XTRACK USD HIGH | 236K | 7K | – |
| DEERE & CO | COM | 233K | 622 | – |
| DELL TECHNOLOGIES INC | CL C | 515K | 4K | – |
| DIAMONDBACK ENERGY INC | COM | 274K | 1K | – |
| DIAMONDROCK HOSPITALITY CO | COM | 315K | 37K | – |
| DISNEY WALT CO | COM | 299K | 3K | – |
| DUKE ENERGY CORP NEW | COM NEW | 424K | 4K | – |
| ELI LILLY & CO | COM | 4M | 4K | – |
| ENERGY TRANSFER L P | COM UT LTD PTN | 487K | 30K | – |
| ENTERPRISE PRODS PARTNERS L | COM | 706K | 24K | – |
| EXPEDIA GROUP INC | COM NEW | 214K | 2K | – |
| EXXON MOBIL CORP | COM | 1M | 10K | – |
| FEDEX CORP | COM | 201K | 668 | – |
| FERRARI N V | COM | 262K | 641 | – |
| FIGS INC | CL A | 68K | 13K | – |
| FLEXSHARES TR | MORNSTAR UPSTR | 1M | 37K | – |
| GINKGO BIOWORKS HOLDINGS INC | CL A SHS | 53K | 160K | – |
| GOLDMAN SACHS ETF TR | ACTIVEBETA US LG | 237K | 2K | – |
| GOLDMAN SACHS GROUP INC | COM | 206K | 455 | – |
| GRACO INC | COM | 604K | 8K | – |
| GRAYSCALE BITCOIN TR BTC | SHS REP COM UT | 674K | 13K | – |
| GSK PLC | SPONSORED ADR | 1M | 32K | – |
| HALEON PLC | SPON ADS | 450K | 54K | – |
| HIMAX TECHNOLOGIES INC | SPONSORED ADR | 150K | 18K | – |
| HOME DEPOT INC | COM | 4M | 11K | – |
| HONEYWELL INTL INC | COM | 1M | 5K | – |
| ICICI BANK LIMITED | ADR | 247K | 9K | – |
| ICON PLC | SHS | 253K | 807 | – |
| INFOSYS LTD | SPONSORED ADR | 218K | 12K | – |
| INTERNATIONAL BUSINESS MACHS | COM | 5M | 29K | – |
| ISHARES INC | CORE MSCI EMKT | 321K | 6K | – |
| ISHARES INC | MSCI BRAZIL ETF | 1M | 52K | – |
| ISHARES INC | MSCI JPN ETF NEW | 2M | 23K | – |
| ISHARES INC | MSCI MEXICO ETF | 5M | 91K | – |
| ISHARES INC | MSCI THAILND ETF | 232K | 4K | – |
| ISHARES TR | CORE S&P MCP ETF | 357K | 6K | – |
| ISHARES TR | CORE S&P TTL STK | 436K | 4K | – |
| ISHARES TR | CORE S&P500 ETF | 151K | 276 | – |
| ISHARES TR | CORE S&P500 ETF | 24M | 45K | – |
| ISHARES TR | CORE US AGGBD ET | 296K | 3K | – |
| ISHARES TR | HDG MSCI EAFE | 534K | 15K | – |
| ISHARES TR | MICRO-CAP ETF | 394K | 3K | – |
| ISHARES TR | MSCI EAFE ETF | 795K | 10K | – |
| ISHARES TR | MSCI EMG MKT ETF | 473K | 11K | – |
| ISHARES TR | MSCI EURO FL ETF | 4M | 158K | – |
| ISHARES TR | MSCI INDIA ETF | 4M | 65K | – |
| ISHARES TR | RUS 1000 GRW ETF | 1M | 3K | – |
| ISHARES TR | RUS 2000 VAL ETF | 334K | 2K | – |
| ISHARES TR | S&P 500 VAL ETF | 291K | 2K | – |
| ISHARES TR | SELECT DIVID ETF | 772K | 6K | – |
| JD.COM INC | SPON ADS CL A | 516K | 20K | – |
| JOHNSON & JOHNSON | COM | 532K | 4K | – |
| JPMORGAN CHASE & CO. | COM | 1M | 6K | – |
| KB FINL GROUP INC | SPONSORED ADR | 337K | 6K | – |
| KKR & CO INC | COM | 313K | 3K | – |
| KRANESHARES TRUST | CSI CHI INTERNET | 846K | 31K | – |
| KT CORP | SPONSORED ADR | 206K | 15K | – |
| KYNDRYL HLDGS INC | COMMON STOCK | 272K | 10K | – |
| LIBERTY BROADBAND CORP | COM SER A | 695K | 13K | – |
| LIBERTY BROADBAND CORP | COM SER C | 567K | 10K | – |
| LIBERTY MEDIA CORP DEL | COM LBTY SRM S A | 224K | 10K | – |
| LINDE PLC | SHS | 624K | 1K | – |
| LIVE NATION ENTERTAINMENT IN | COM | 1M | 11K | – |
| LLOYDS BANKING GROUP PLC | SPONSORED ADR | 184K | 67K | – |
| LOWES COS INC | COM | 375K | 2K | – |
| LULULEMON ATHLETICA INC | COM | 4M | 12K | – |
| MASTERCARD INCORPORATED | CL A | 1M | 3K | – |
| MCDONALDS CORP | COM | 10K | 38 | – |
| MCDONALDS CORP | COM | 223K | 876 | – |
| MERCADOLIBRE INC | COM | 214K | 130 | – |
| MERCK & CO INC | COM | 457K | 4K | – |
| META PLATFORMS INC | CL A | 5M | 10K | – |
| MICROSOFT CORP | COM | 6M | 14K | – |
| MIZUHO FINANCIAL GROUP INC | SPONSORED ADR | 45K | 11K | – |
| MORGAN STANLEY | COM NEW | 3M | 26K | – |
| MOTOROLA SOLUTIONS INC | COM NEW | 1M | 3K | – |
| MPLX LP | COM UNIT REP LTD | 232K | 5K | – |
| NETFLIX INC | COM | 345K | 511 | – |
| NEXTERA ENERGY INC | COM | 358K | 5K | – |
| NOVARTIS AG | SPONSORED ADR | 234K | 2K | – |
| NOVO-NORDISK A S | ADR | 613K | 4K | – |
| NU HLDGS LTD | ORD SHS CL A | 148K | 11K | – |
| NVIDIA CORPORATION | COM | 3M | 26K | – |
| ONEOK INC NEW | COM | 542K | 7K | – |
| ORACLE CORP | COM | 367K | 3K | – |
| PEPSICO INC | COM | 501K | 3K | – |
| PETROLEO BRASILEIRO SA PETRO | SPONSORED ADR | 219K | 15K | – |
| PFIZER INC | COM | 2M | 64K | – |
| PHILIP MORRIS INTL INC | COM | 522K | 5K | – |
| PHILLIPS EDISON & CO INC | COMMON STOCK | 304K | 9K | – |
| PRIVIA HEALTH GROUP INC | COM | 2M | 91K | – |
| PROCTER AND GAMBLE CO | COM | 421K | 3K | – |
| PROGRESSIVE CORP | COM | 301K | 1K | – |
| QUALCOMM INC | COM | 305K | 2K | – |
| QURATE RETAIL INC | COM SER B | 969K | 229K | – |
| RAYMOND JAMES FINL INC | COM | 418K | 3K | – |
| ROCKET COS INC | COM CL A | 1M | 80K | – |
| ROYAL BK CDA | COM | 3M | 27K | – |
| SALESFORCE INC | COM | 288K | 1K | – |
| SANOFI | SPONSORED ADR | 504K | 10K | – |
| SAP SE | SPON ADR | 387K | 2K | – |
| SCHWAB CHARLES CORP | COM | 523K | 7K | – |
| SCHWAB STRATEGIC TR | INTL EQTY ETF | 950K | 24K | – |
| SCHWAB STRATEGIC TR | US DIVIDEND EQ | 3M | 33K | – |
| SCHWAB STRATEGIC TR | US LCAP GR ETF | 2M | 18K | – |
| SCHWAB STRATEGIC TR | US LCAP VA ETF | 2M | 26K | – |
| SCHWAB STRATEGIC TR | US MID-CAP ETF | 2M | 25K | – |
| SCHWAB STRATEGIC TR | US SML CAP ETF | 2M | 32K | – |
| SCHWAB STRATEGIC TR | US TIPS ETF | 520K | 10K | – |
| SELECT SECTOR SPDR TR | SBI INT-UTILS | 531K | 8K | – |
| SHELL PLC | SPON ADS | 463K | 6K | – |
| SHINHAN FINANCIAL GROUP CO L | SPN ADR RESTRD | 230K | 7K | – |
| SNAP INC | CL A | 2M | 98K | – |
| SNOWFLAKE INC | CL A | 816K | 6K | – |
| SONY GROUP CORP | SPONSORED ADR | 326K | 4K | – |
| SOUTHERN CO | COM | 265K | 3K | – |
| SPDR S&P 500 ETF TR | TR UNIT | 34M | 61K | – |
| SPDR SER TR | OILGAS EQUIP | 2M | 20K | – |
| SPDR SER TR | S&P BK ETF | 1M | 30K | – |
| SPDR SER TR | S&P DIVID ETF | 7M | 51K | – |
| TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADS | 2M | 9K | – |
| TAKEDA PHARMACEUTICAL CO LTD | SPONSORED ADS | 134K | 10K | – |
| TEGNA INC | COM | 169K | 12K | – |
| TESLA INC | COM | 385K | 2K | – |
| TEXAS INSTRS INC | COM | 260K | 1K | – |
| THERMO FISHER SCIENTIFIC INC | COM | 493K | 891 | – |
| TJX COS INC NEW | COM | 219K | 2K | – |
| TPG INC | COM CL A | 207K | 5K | – |
| UBER TECHNOLOGIES INC | COM | 1M | 15K | – |
| UNILEVER PLC | SPON ADR NEW | 382K | 7K | – |
| UNITEDHEALTH GROUP INC | COM | 659K | 1K | – |
| VALLEY NATL BANCORP | COM | 9M | 1M | – |
| VANECK ETF TRUST | BIOTECH ETF | 2M | 10K | – |
| VANECK ETF TRUST | PHARMACEUTCL ETF | 2M | 25K | – |
| VANGUARD INDEX FDS | EXTEND MKT ETF | 353K | 2K | – |
| VANGUARD INDEX FDS | GROWTH ETF | 3M | 8K | – |
| VANGUARD INDEX FDS | MID CAP ETF | 918K | 4K | – |
| VANGUARD INDEX FDS | REAL ESTATE ETF | 210K | 2K | – |
| VANGUARD INDEX FDS | S&P 500 ETF SHS | 3M | 6K | – |
| VANGUARD INDEX FDS | SM CP VAL ETF | 440K | 2K | – |
| VANGUARD INDEX FDS | SMALL CP ETF | 629K | 3K | – |
| VANGUARD INDEX FDS | SML CP GRW ETF | 598K | 2K | – |
| VANGUARD INDEX FDS | TOTAL STK MKT | 15M | 57K | – |
| VANGUARD INDEX FDS | VALUE ETF | 3M | 17K | – |
| VANGUARD INTL EQUITY INDEX F | ALLWRLD EX US | 226K | 4K | – |
| VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 2M | 37K | – |
| VANGUARD INTL EQUITY INDEX F | FTSE EUROPE ETF | 842K | 13K | – |
| VANGUARD INTL EQUITY INDEX F | FTSE PACIFIC ETF | 335K | 5K | – |
| VANGUARD INTL EQUITY INDEX F | TT WRLD ST ETF | 1M | 11K | – |
| VANGUARD INTL EQUITY INDEX F | TT WRLD ST ETF | 20M | 177K | – |
| VANGUARD SCOTTSDALE FDS | VNG RUS2000IDX | 306K | 4K | – |
| VANGUARD SPECIALIZED FUNDS | DIV APP ETF | 14M | 75K | – |
| VANGUARD TAX-MANAGED FDS | VAN FTSE DEV MKT | 15M | 311K | – |
| VANGUARD WHITEHALL FDS | HIGH DIV YLD | 860K | 7K | – |
| VANGUARD WORLD FD | FINANCIALS ETF | 2M | 19K | – |
| VBI VACCINES INC CDA | COM NEW | 13K | 20K | – |
| VERIZON COMMUNICATIONS INC | COM | 342K | 8K | – |
| VIATRIS INC | COM | 146K | 14K | – |
| VISA INC | COM CL A | 417K | 2K | – |
| WALMART INC | COM | 207K | 3K | – |
| WEAVE COMMUNICATIONS INC | COM | 127K | 14K | – |
| WELLS FARGO CO NEW | COM | 2M | 38K | – |
| WISDOMTREE TR | US AI ENHANCED | 823K | 8K | – |
| WORKDAY INC | CL A | 251K | 1K | – |
| ZOETIS INC | CL A | 445K | 3K | – |