Red Rocks Capital LLC is a large advisory firm based in Denver. It manages $208.7 million of regulatory assets for 2 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdiction of Colorado.
Red Rocks Capital provides portfolio management for investment companies. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.
The assets under management (AUM) of Red Rocks Capital LLC is $208.7 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 49% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.
The advisory firm has a single stream of revenue. Clients pay Red Rocks Capital LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.
The only and largest group of clients of Thomas Anthony Carter is investment companies with 2 clients and $208.7 million of assets under management. Among the 8 most similar advisory firms, Red Rocks Capital has the highest percentage of investment companies out of all clients.
The amount of regulatory assets under management is $208.7 million for 2 clients. None of the firm’s clients are foreign persons or businesses.
Red Rocks Capital doesn't advise any private funds.
The company employs 12 people that are either part- or full-time employees. 42 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.
There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.
Thomas Anthony Carter has been acting as President since 1 Jul 2015. Matthew Joseph Sutula joined the executive team most recently as the Interim Chief Compliance Officer.
The principal office where Red Rocks Capital LLC performs its advisory services is located at 1290 Broadway, Denver, CO 80203, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.
You can reach the main office by calling the phone number 303-679-8252 or by fax 303-679-8251. The normal business hours are 8:00 am 5:00pm-mst on Monday - Friday. You can find more information about the New York firm at redrockscapital.com.