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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

KOZAK & TRIPP PRIVATE ASSET MANAGEMENT, INC.

CRD 298353

HIGHLANDS RANCH, CO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:798e655b-59c6-efe5-bfb9-a34bacbf6497

Data as of Apr 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 0
Observed: Aug 3, 2018 to Apr 15, 2026
23 observations

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

Firm class: independent wealth managerderivedprivate_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $813MItem 5.F on the latest filing (2026-04-15); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $812M
Private client RAUM: $793MderivedItem 5.D individuals plus high net worth individuals
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $271Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 10
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 2,390
Individual clients: 622
High net worth clients: 153
Custody, client assets: $116,024
SEC number: 801-113934
CRD: 298353
Filings on the tape: 23
First filed: Aug 3, 2018
Latest filed: Apr 15, 2026
Organised: Corporation, CO

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
CHRISTOPHER KOZAK	n/a	HIGHLANDS RANCH, CO	8	20	1	no
TREVOR NOLEN TRIPP	n/a	HIGHLANDS RANCH, CO	8	16	1	no
Connor David Crockett	n/a	HIGHLANDS RANCH, CO	0	12	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
KOZAK, CHRISTOPHER	OWNER, CCO	D	yes	07/2018	Aug 3, 2018	Mar 1, 2024
TRIPP, TREVOR, NOLEN	Owner	C	yes	07/2018	Aug 3, 2018	Mar 1, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 8 of 9

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 15, 2026	$813M	$812M	10	2	0	n/a	n/a
2024	Feb 19, 2025	$706M	$705M	10	2	0	n/a	n/a
2023	Mar 1, 2024	$628M	$628M	10	2	0	n/a	n/a
2022	Jan 23, 2023	$457M	$449M	10	2	0	n/a	n/a
2021	Feb 28, 2022	$488M	$469M	9	2	0	n/a	n/a
2020	Feb 8, 2021	$434M	$407M	5	2	0	n/a	n/a
2019	Feb 11, 2020	$321M	$321M	2	2	0	n/a	n/a
2018	Mar 18, 2019	$232M	$232M	2	2	1	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$813M	$706M	15.1%	$457M	21.1%	10	10	0	0

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CETERA ADVISORS LLC	2	Oct 10, 2018	Sep 12, 2018	GREENWOOD VILLAGE, CO	Team lift out	Other	0.7%

Relationships

Registered with (3)

← Connor David CrockettAdvisorregistration: current employment
May 25, 2026 to presentfactForm ADV
← TREVOR NOLEN TRIPPAdvisorregistration: current employment
Sep 12, 2018 to presentfactForm ADV
← CHRISTOPHER KOZAKAdvisorregistration: current employment
Sep 7, 2018 to presentfactForm ADV

Controls (2)

← KOZAK, CHRISTOPHEROwnerOWNER, CCO, ownership code D, individual
Aug 3, 2018 to Mar 1, 2024factForm ADV
← TRIPP, TREVOR, NOLENOwnerOWNER, ownership code C, individual
Aug 3, 2018 to Mar 1, 2024factForm ADV

Moved with (1)

← CETERA ADVISORS LLCRegistered adviser2 advisors, team lift out
Oct 10, 2018 to Sep 12, 2018factForm ADV

Dated events

Occurred
Mar 1, 2024
Regulatory AUM changed
Kozak & Tripp Private Asset Management, Inc. reported RAUM $628.4M, up 37% from $457.5M (2023-01-23 to 2024-03-01)
Form ADVobserved 4 days ago
$171M
Occurred
Feb 8, 2021
Regulatory AUM changed
Kozak & Tripp Private Asset Management, Inc. reported RAUM $434.1M, up 35% from $320.8M (2020-09-03 to 2021-02-08)
Form ADVobserved 4 days ago
$113M
Occurred
Aug 3, 2018
First Form ADV filing
Kozak & Associates, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:798e655b-59c6-efe5-bfb9-a34bacbf6497
First observed: Aug 3, 2018
Last observed: Apr 15, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

KOZAK & TRIPP PRIVATE ASSET MANAGEMENT, INC.

CRD 298353

HIGHLANDS RANCH, CO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:798e655b-59c6-efe5-bfb9-a34bacbf6497

Data as of Apr 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:11 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

CHRISTOPHER KOZAK

n/a

HIGHLANDS RANCH, CO

TREVOR NOLEN TRIPP

n/a

HIGHLANDS RANCH, CO

Connor David Crockett

n/a

HIGHLANDS RANCH, CO

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

KOZAK, CHRISTOPHER

OWNER, CCO

yes

07/2018

Aug 3, 2018

Mar 1, 2024

TRIPP, TREVOR, NOLEN

Owner

yes

07/2018

Aug 3, 2018

Mar 1, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 15, 2026

$813M

$812M

n/a

2024

Feb 19, 2025

$706M

$705M

n/a

2023

Mar 1, 2024

$628M

n/a

2022

Jan 23, 2023

$457M

$449M

n/a

2021

Feb 28, 2022

$488M

$469M

n/a

2020

Feb 8, 2021

$434M

$407M

n/a

2019

Feb 11, 2020

$321M

n/a

2018

Mar 18, 2019

$232M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$813M

$706M

15.1%

$457M

21.1%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CETERA ADVISORS LLC

Oct 10, 2018

Sep 12, 2018

GREENWOOD VILLAGE, CO

Team lift out

Other

0.7%