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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

CARNICK & KUBIK, LLC

CRD 159115

DENVER, 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:87253c53-b6a4-ef07-5878-826435eaaf3a

Data as of Mar 23, 2016 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 0
Observed: Nov 16, 2011 to Mar 23, 2016
14 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $600MItem 5.F on the latest filing (2016-03-23); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $600M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10
Advisory employees: 10
Accounts: 446
SEC number: 801-72828
CRD: 159115
Filings on the tape: 14
First filed: Nov 16, 2011
Latest filed: Mar 23, 2016
Organised: Limited Liability Company, Colorado

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
CARNICK, CRAIG, EVANS	CHIEF COMPLIANCE OFFICER	Na	yes	09/2011	Nov 16, 2011	Mar 23, 2016
KUBIK, DAVID, JAMES	Member	D	yes	08/2011	Nov 16, 2011	Mar 23, 2016
KUBIK, NATHAN, JAMES	Member	D	yes	08/2011	Nov 16, 2011	Mar 23, 2016

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
COLORADO SPRINGS	Co	United States	n/a	no

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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 23, 2016	$600M	$600M	10	10	n/a	n/a	n/a
2014	Mar 19, 2015	$320M	$320M	5	5	n/a	n/a	n/a
2013	Mar 27, 2014	$282M	$282M	5	5	n/a	n/a	n/a
2012	Mar 12, 2013	$250M	$250M	7	4	n/a	n/a	n/a
2011	Mar 29, 2012	$236M	$236M	n/a	n/a	n/a	n/a	n/a

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
2015	$600M	$320M	87.5%	$250M	33.9%	10	5	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
TRANSFORM WEALTH, LLC	6	Jun 9, 2016	Jun 13, 2016	DENVER, CO	Firm absorbed	Other	85.7%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
VALUED INVESTMENT PARTNERS, LLC	2	Jul 10, 2015	Nov 24, 2015	GREENWOOD VILLAGE, CO	Team lift out	Other	100.0%

Relationships

Controls (3)

← KUBIK, NATHAN, JAMESOwnerMEMBER, ownership code D, individual
Nov 16, 2011 to presentfactForm ADV
← KUBIK, DAVID, JAMESOwnerMEMBER, ownership code D, individual
Nov 16, 2011 to presentfactForm ADV
← CARNICK, CRAIG, EVANSOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 16, 2011 to presentfactForm ADV

Moved with (2)

→ TRANSFORM WEALTH, LLCRegistered adviser6 advisors, firm absorbed, same day
Jun 9, 2016 to Jun 13, 2016factForm ADV
← VALUED INVESTMENT PARTNERS, LLCRegistered adviser2 advisors, team lift out, same day
Jul 10, 2015 to Nov 24, 2015factForm ADV

Registered with (7)

← ROBERT LOGAN CAMPBELLAdvisorregistration: previous registration
Nov 24, 2015 to Jun 9, 2016factForm ADV
← NATHAN JAMES KUBIKAdvisorregistration: previous registration
Mar 7, 2012 to Jun 9, 2016factForm ADV
← DAVID JAMES KUBIKAdvisorregistration: previous registration
Feb 23, 2012 to Jun 9, 2016factForm ADV
← WILLIAM DAVID VAN KEULENAdvisorregistration: previous registration
Nov 2, 2011 to Jun 9, 2016factForm ADV
← CLARISSA RUGABER HOBSONAdvisorregistration: previous registration
Nov 2, 2011 to Jun 9, 2016factForm ADV
← KENNETH P TILLMANAdvisorregistration: previous registration
Nov 24, 2015 to Jun 9, 2016factForm ADV
← CRAIG EVANS CARNICKAdvisorregistration: previous registration
Nov 2, 2011 to Jun 9, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:87253c53-b6a4-ef07-5878-826435eaaf3a
First observed: Nov 16, 2011
Last observed: Mar 23, 2016 127 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.

CARNICK & KUBIK, LLC

CRD 159115

DENVER, 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:87253c53-b6a4-ef07-5878-826435eaaf3a

Data as of Mar 23, 2016 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:32 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CARNICK, CRAIG, EVANS

CHIEF COMPLIANCE OFFICER

yes

09/2011

Nov 16, 2011

Mar 23, 2016

KUBIK, DAVID, JAMES

Member

yes

08/2011

Nov 16, 2011

Mar 23, 2016

KUBIK, NATHAN, JAMES

Member

yes

08/2011

Nov 16, 2011

Mar 23, 2016

City

State

Country

Employees

Also broker-dealer

COLORADO SPRINGS

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Mar 23, 2016

$600M

n/a

2014

Mar 19, 2015

$320M

n/a

2013

Mar 27, 2014

$282M

n/a

2012

Mar 12, 2013

$250M

n/a

2011

Mar 29, 2012

$236M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

$600M

$320M

87.5%

$250M

33.9%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

TRANSFORM WEALTH, LLC

Jun 9, 2016

Jun 13, 2016

DENVER, CO

Firm absorbed

Other

85.7%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

VALUED INVESTMENT PARTNERS, LLC

Jul 10, 2015

Nov 24, 2015

GREENWOOD VILLAGE, CO

Team lift out

Other

100.0%