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A & I Financial Services, LLC

● SEC registered since 2009CRD 148357SEC# 801-69819Lone Tree, CO
Export (members)
Reg. AUM
$463.9M
Employees
9
Accounts
2,261
Location
Lone Tree, CO

A & I Financial Services, LLC assets under management

A & I Financial Services, LLC is an investment advisory firm registered with the SEC based in Lone Tree, CO. The firm has been registered since 2009. It reports $463.9 million in regulatory assets under management and employs 9 people.

A & I Financial Services, LLC owners & executives

5 reported
NameTitleOwnershipSince
A & I Holdings, LLC ControlMemberOver 75%2018
Karl Fredrick Frank ControlManager And Chief Compliance OfficerUnder 5%2004
Stacey Katrina Frank ControlManagerUnder 5%2004
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Frequently asked questions

How much does A & I Financial Services, LLC manage?

A & I Financial Services, LLC reports $463.9 million in regulatory assets under management on its Form ADV.

How many employees does A & I Financial Services, LLC have?

A & I Financial Services, LLC reports 9 employees.

Where is A & I Financial Services, LLC located?

A & I Financial Services, LLC is based in Lone Tree, CO and has been SEC-registered since 2009.

Does A & I Financial Services, LLC disclose fund performance?

A & I Financial Services, LLC is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.

Contact & registration

Address9605 Kingston Court, Suite 190, Lone Tree, CO 80112
Phone303-690-5070
Fax303-699-8945
Office hours8:00 a.m. To 5:00 p.m.
SEC regionDenver Regional Office (DRO)
CIK1728031
Discloses disciplinary historyNo

Assets under management

Discretionary$422.3M
Non-discretionary$41.6M
Total (RAUM)$463.9M