RS ASSET MANAGEMENT, LLC

Advisory Business

Type of Organization	Limited Liability Company
Fiscal Year End	DECEMBER
Legal Location	Colorado, United States

Employees

Total Number of Employees	2
Investment Advisory/Research	2
Registered Broker-Dealer Representatives	2
Registered State Investment Advisers	2
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	217	$89.9M
Non-Discretionary	460	$39.6M
Total	677	$129.4M

Clients

Type	Number	RAUM
Individuals	224	$54.8M
HNW Individuals	23	$74.6M
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	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
No. of Financial Planning Clients	1-10

Services

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

Wrap Fee Program

Offers Wrap Fee Program	Yes

Acting As	RAUM
Sponsor	0
Portfolio Manager	0
Both for Same	66.9M

Portfolio Manager to Program	Sponsor
LPL FINANCIAL WRAP PROGRAM	LPL FINANCIAL

Identifiers

SEC RIA File Number	801-79114
SEC ERA File Number	801-79114
SEC CIK Numbers	None
SEC CRD Numbers	157768
Legal Entity Identifier	None

Principal Office

660 SOUTHPOINTE COURT
SUITE 312
COLORADO SPRINGS
CO
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic