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RIA / WealthAdvisorCertified Financial Planner24 years in industry

RICHARD HENRY ALPERT

Advisor at RAUB BROCK CAPITAL MANAGEMENT, LP

LARKSPUR, CA

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Search this name across graphsid dfx:ria:05f5d901-bfd0-90db-98f8-791730079055

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 11, 2004 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: RAUB BROCK CAPITAL MANAGEMENT, LP
Current firm class: asset managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 24, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Jul 24, 2002
First registration: Feb 11, 2004
Dual registered: no
IAPD individual key: 4487716

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
RAUB BROCK CAPITAL MANAGEMENT, LP	Asset manager	Jan 4, 2021	n/a	yes	LARKSPUR, CA	Current employment
RAUB BROCK CAPITAL MANAGEMENT, LP	Asset manager	Nov 19, 2010	Dec 31, 2020	no	LARKSPUR, CA	Previous registration
RAUB/BROCK CAPITAL MANAGEMENT, INC.	n/a	Jun 16, 2010	Nov 29, 2010	no	n/a	Previous registration
NEWFOCUS FINANCIAL GROUP, LLC	Former SEC adviser	May 5, 2005	Dec 21, 2010	no	VANCOUVER, WA	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Feb 11, 2004	Jun 2, 2005	no	SAN FRANCISCO, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
NEWFOCUS FINANCIAL GROUP, LLC	RAUB/BROCK CAPITAL MANAGEMENT, INC.	Dec 21, 2010	Jun 16, 2010	-188	Firm change after gap	Other
RAUB/BROCK CAPITAL MANAGEMENT, INC.	RAUB BROCK CAPITAL MANAGEMENT, LP	Nov 29, 2010	Nov 19, 2010	-10	Firm change	Other
MML INVESTORS SERVICES, LLC	NEWFOCUS FINANCIAL GROUP, LLC	Jun 2, 2005	May 5, 2005	-28	Firm change	Other

Relationships

Registered with (4)

→ RAUB BROCK CAPITAL MANAGEMENT, LPRegistered adviserregistration: previous registration
Nov 19, 2010 to Dec 31, 2020factForm ADV
→ NEWFOCUS FINANCIAL GROUP, LLCRegistered adviserregistration: previous registration
May 5, 2005 to Dec 21, 2010factForm ADV
→ RAUB/BROCK CAPITAL MANAGEMENT, INC.Registered adviserregistration: previous registration
Jun 16, 2010 to Nov 29, 2010factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Feb 11, 2004 to Jun 2, 2005factForm ADV

Dated events

No dated event names this entity yet.