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CRD 107196
COLORADO SPRINGS, CO
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| JOHN PETER PFAFFMANN | Certified Financial Planner | TEMPE, AZ | COLORADO SPRINGS, CO | Tempe, AZ | 23 | 36 | 2 | no |
| JONATHAN STEPHEN FORBES | Certified Financial Planner | COLORADO SPRINGS, CO | 9 | 13 | n/a | no |
| Jennifer Kay Ann Hernandez | Certified Financial Planner | Colorado Springs, CO | 5 | 10 | n/a | no |
| LISA ANNE MALICK | Certified Financial Planner | COLORADO SPRINGS, CO | Colorado Springs, CO | 3 | 14 | 2 | no |
| SHANNON JEANETTE ROSS | n/a | COLORADO SPRINGS, CO | Colorado Springs, CO | 3 | 14 | 3 | no |
| Kyle William Householder | n/a | COLORADO SPRINGS, CO | 3 | 13 | 1 | no |
| Crystal Faith Karstens | n/a | COLORADO SPRINGS, CO | 0 | 22 | n/a | no |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| STABLEFORD MANAGED FUTURES FUND, LLC | Hedge Fund | $8.9M | Aug 18, 2014 | 7 | Apr 1, 2013 | dropped | n/a |
| PETRA (TF) FIXED INCOME FUND, LLC. | Other Private Fund | $4.5M | Aug 18, 2014 | 40 | Mar 30, 2012 | dropped | 021-118474 |
| GREELEY LAND FUND, LLC | Real Estate Fund | $4.3M | Apr 1, 2021 | 15 | Mar 30, 2012 | dropped | 021-80026315 |
| PETRA (T) FIXED INCOME FUND, LLC | Other Private Fund | $2.2M | Aug 18, 2014 | 43 | Mar 30, 2012 | dropped | 021-118463 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| FORBES, JONATHAN, STEPHEN | PRESIDENT/CHAIRMAN | D | yes | 07/2019 | Feb 22, 2017 | Nov 4, 2024 |
| Karstens, Crystal, Faith | CHIEF COMPLIANCE OFFICER | Na | yes | 03/2023 | Mar 14, 2023 | Nov 4, 2024 |
| Ross, Justin, Nicholas | Partner | C | yes | 10/2024 | Nov 4, 2024 | Nov 4, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Broomfield | Co | United States | 2 | no |
| Tempe | Az | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 2, 2026 | $447M | $447M | 15 | 7 | 2 | n/a | n/a |
| 2024 | Mar 10, 2025 | $388M | $388M | 14 | 7 | 2 | n/a | n/a |
| 2023 | Mar 22, 2024 | $357M | $357M | 14 | 8 | 2 | n/a | n/a |
| 2022 | Mar 14, 2023 | $306M | $302M | 11 | 6 | 1 | n/a | n/a |
| 2021 | Mar 16, 2022 | $249M | $249M | 8 | 4 | 0 | n/a | n/a |
| 2020 | Mar 12, 2021 | $174M | $174M | 8 | 5 | 0 | 1 | $4.3M |
| 2019 | Mar 20, 2020 | $159M | $159M | 7 | 4 | 0 | 1 | $4.3M |
| 2018 | Mar 19, 2019 | $124M | $124M | 7 | 2 | 0 | 1 | $4.3M |
| 2017 | Jan 18, 2018 | $132M | $132M | 8 | 3 | 1 | 1 | $4.3M |
| 2016 | Feb 22, 2017 | $120M | $120M | 7 | 3 | n/a | 1 | $4.3M |
| 2015 | Mar 3, 2016 | $116M | $116M | 6 | 2 | n/a | 1 | $4.3M |
| 2014 | Feb 9, 2015 | $131M | $131M | 6 | 2 | n/a | 1 | $4.3M |
| 2013 | Mar 25, 2014 | $122M | $122M | 6 | 2 | n/a | 4 | $19.9M |
| 2012 | Apr 1, 2013 | $117M | $117M | 6 | 2 | n/a | 4 | $20.5M |
| 2011 | Mar 30, 2012 | $97.4M | $95.8M | n/a | n/a | n/a | 3 | $10.6M |
| 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 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $447M | $388M | 15.3% | $306M | 13.5% | 15 | 14 | 2 | 2 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 2 | Sep 20, 2022 | Sep 23, 2022 | BROOMFIELD, CO | Team lift out | Ibd to RIA | 0.1% |