Federal Data Hub › SEC Form ADV · JSON · SEC IAPD ↗

A & I FINANCIAL SERVICES, LLC

dba A & I WEALTH MANAGEMENT · CRD 148357 · Registered Investment Adviser

A & I FINANCIAL SERVICES, LLC is a Registered Investment Adviser headquartered in LONE TREE, CO. The firm reports $559,998,114 in regulatory assets under management across 1,683 accounts. It reports no Form ADV Item 11 disciplinary disclosures.

Regulatory assets under management

Discretionary$506,347,455
Non-discretionary$53,650,659
Total RAUM$559,998,114
Accounts1,683

Disciplinary history (Form ADV Item 11)

This adviser reports no Form ADV Item 11 disciplinary events.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 148357. adviserinfo.sec.gov/firm/summary/148357.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

License: CC0 1.0 Universal. Corrections: corrections @ ai-analytics.org.