Red Rocks Capital LLC (Denver)

Name: Red Rocks Capital LLC
Address: 1290 Broadway, Denver, CO, 80203
Telephone: 303-679-8252

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.

Red Rocks Capital: assets under management

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 firm manages $208.7 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $104.35 million each.

Fees & Commissions

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.

What kind of clients Thomas Anthony Carter serves?

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.

Careers at Red Rocks Capital LLC

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.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Adam Goldman	Senior vice president, portfolio manager	1 Dec 2003	Other	4944423
Mark Steven Sunderhuse	Senior vice president, portfolio manager	1 Dec 2003	Other	1274864
Adam Goldman	Managing member	1 Apr 2005	50% - 75%	4944423
Mark Steven Sunderhuse	Managing member	1 Apr 2005	50% - 75%	1274864
Matthew Richard Luoma	Chief financial officer, chief compliance officer	1 Nov 2007	Other	2087270
Thomas Anthony Carter	President	1 Jul 2015	Other	2558943
Inc. Alps Advisors	Parent	1 Jul 2015	75% - 100%	134340
Aisha Jamila Hunt	General counsel	1 Jul 2015	Other	6377560
Jeremy D Held	Svp, director of investment strategy and research	1 Nov 2016	Other	2833144
Troy Anthony Duran	Chief financial officer	1 Jan 2017	Other	2191599
Erin Douglas Nelson	Chief compliance officer	1 Jan 2017	Other	5886040
Erin Nelson	Chief compliance officer	1 Jan 2017	Other	5886040
Edmund Joseph Burke	Managing member	1 Sep 2017	Other	1263210
Richard Craig Noyes	Svp, general counsel	1 Feb 2018	Other	4836373
Bradley John Swenson	Executive vp	1 Jun 2019	Other	2666663
Michael J Sleightholme	President, managing member	1 Jun 2019	Other	7139558
Matthew Joseph Sutula	Interim chief compliance officer	1 Sep 2019	Other	6209373

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Alps Holdings	Owner	1 Jul 2015	75% - 100%	20-3247785
Inc. Dst Systems	Owner	1 Jul 2015	75% - 100%	43-1581814
Inc. Ss&C Technologies	Owner	1 Apr 2018	75% - 100%	06-1169696
Inc. Ss&C Technologies Holdings	Owner	1 Apr 2018	75% - 100%	71-0987913

Based in Denver

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.