Rocky Mountain Wealth Concepts (San Francisco)

Name: Rocky Mountain Wealth Concepts
Address: 275 Battery Street, San Francisco, CA, 94111
Telephone: 415-738-8283

Rocky Mountain Wealth Concepts is a large advisory firm based in San Francisco. It manages $149 million of regulatory assets for 3 client accounts. It has been registered with the SEC as an adviser since 2010 and has operated in the jurisdiction of California.

Rocky Mountain Wealth Concepts provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Rocky Mountain Wealth Concepts: assets under management

The assets under management (AUM) of Rocky Mountain Wealth Concepts is $149 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 27% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $149 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $49.67 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Rocky Mountain Wealth Concepts for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Rocky Mountain Wealth Concepts

Thomas Coleman Andrews has been acting as President since 1 Jan 2008. Coletyme Llc joined the executive team most recently as the Shareholder.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Rocky Mountain Capital	Shareholder	1 Jan 2008	75% - 100%	83-0275659
Thomas Coleman Andrews	Chief executive officer/president	1 Jan 2008	Other	5538225
Michael Ross Rubenstein	Managing director/chief compliance officer	1 Jan 2008	Other	4837116
Heather Lynne Mercier	Secretary/treasurer	1 Jul 2009	Other	4448426
Inc Rocky Mountain Wealth Concepts Management	Shareholder	1 Jan 2011	75% - 100%	45-0605177
Lawrence John Frye	Managing director/chief compliance officer	1 Jun 2011	Other	5948616
Nathanael Robert Clemensen	Director of finance & operations/chief compliance officer	1 Jun 2013	Other	4635925

Indirect Owners

The SEC currently registers 5 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Thomas Coleman Andrews	Chairman/ceo	1 Jun 2005	25% - 50%	5538225
Janet Jarie Jensen	Shareholder	1 Jan 2011	75% - 100%	1959059
L.L.C. Truvestconcepts	Shareholder	1 Jan 2011	75% - 100%	45-1213803
Coletyme Llc	Shareholder	1 Jul 2013	75% - 100%	46-3101756
Harold Martin Korell	Shareholder	1 Jul 2013	75% - 100%	6222575

Based in San Francisco

The principal office where Rocky Mountain Wealth Concepts performs its advisory services is located at 275 Battery Street, San Francisco, CA 94111, 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 415-738-8283. The normal business hours are 9:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at www.rmwc.com.