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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

ETSPREADS, LLC

CRD 148363

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:c1ec9696-02a7-8504-2ff4-58dd1fdaa6fb

Data as of May 29, 2020 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to May 29, 2020
10 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
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 3
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
SEC number: 801-69640
CRD: 148363
Filings on the tape: 10
First filed: Mar 30, 2012
Latest filed: May 29, 2020
Organised: Limited Liability Company, California

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
CCM PARTNERS	MANAGING MEMBER	C	yes	08/2008	Mar 30, 2012	May 29, 2020
CLARK, MATTHEW, TAYLOR	NON-MANAGING MEMBER	B	yes	08/2008	Mar 30, 2012	May 29, 2020
CUTTER, CURTIS, BROOKS	Trustee	C	yes	10/1999	Mar 30, 2012	May 29, 2020
MOCK, WILLIAM, PATRICK	PARTNER, CIO	B	yes	03/2011	Mar 30, 2012	May 29, 2020
PUSCH, GREGORY, THOMAS	GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER	Na	yes	03/2017	Mar 29, 2017	May 29, 2020
RFS PARTNERS	GENERAL PARTNER	C	yes	07/1985	Mar 30, 2012	May 29, 2020
RICHARD F SHELTON INC	GENERAL PARTNER	E	yes	07/1985	Mar 30, 2012	May 29, 2020
RICHARD F SHELTON IRREVOCABLE TRUST	CONTROLLING ENTITY	C	yes	07/1985	Mar 30, 2012	May 29, 2020
ROGERS, CELIA, SHELTON	Trustee	C	yes	10/1999	Mar 30, 2012	May 29, 2020
ROGERS, STEPHEN, CRAIG	SENIOR PARTNER, CEO	Na	yes	03/2011	Mar 30, 2012	May 29, 2020
ROGERS, STEPHEN, CRAIG	Trustee	C	yes	10/1999	Mar 30, 2012	May 29, 2020

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
CCM PARTNERS, LP	n/a	Mixed wealth	$6.5B	Y	yes	n/a
RFS PARTNERS	n/a	n/a	n/a	Y	yes	n/a

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
2019	May 29, 2020	n/a	n/a	3	2	0	n/a	n/a
2018	Aug 1, 2019	n/a	n/a	3	2	0	n/a	n/a
2017	Mar 29, 2018	$0	$0	3	2	0	n/a	n/a
2016	Mar 29, 2017	$0	$0	3	2	n/a	n/a	n/a
2015	Mar 28, 2016	n/a	n/a	3	2	n/a	n/a	n/a
2014	Mar 31, 2015	n/a	n/a	3	2	n/a	n/a	n/a
2013	Mar 28, 2014	n/a	n/a	3	2	n/a	n/a	n/a
2012	Mar 28, 2013	n/a	n/a	2	2	n/a	n/a	n/a
2011	Mar 30, 2012	$0	$0	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
2019	n/a	n/a	n/a	$0	n/a	3	3	0	0

Relationships

Affiliated with (1)

→ SHELTON CAPITAL MANAGEMENTRegistered adviserother investment adviser, control, common control
factForm ADV

Controls (10)

← CCM PARTNERSOwnerMANAGING MEMBER, ownership code C, domestic entity
Mar 30, 2012 to presentfactForm ADV
← RFS PARTNERSOwnerGENERAL PARTNER, ownership code C, domestic entity
Mar 30, 2012 to presentfactForm ADV
← ROGERS, STEPHEN, CRAIGOwnerTRUSTEE, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV
← CLARK, MATTHEW, TAYLOROwnerNON-MANAGING MEMBER, ownership code B, individual
Mar 30, 2012 to presentfactForm ADV
← MOCK, WILLIAM, PATRICKOwnerPARTNER, CIO, ownership code B, individual
Mar 30, 2012 to presentfactForm ADV
← ROGERS, CELIA, SHELTONOwnerTRUSTEE, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV
← CUTTER, CURTIS, BROOKSOwnerTRUSTEE, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV
← PUSCH, GREGORY, THOMASOwnerGENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 29, 2017 to presentfactForm ADV
← RICHARD F SHELTON INCOwnerGENERAL PARTNER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← RICHARD F SHELTON IRREVOCABLE TRUSTOwnerCONTROLLING ENTITY, ownership code C, domestic entity
Mar 30, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c1ec9696-02a7-8504-2ff4-58dd1fdaa6fb
First observed: Mar 30, 2012
Last observed: May 29, 2020 76 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.

ETSPREADS, LLC

CRD 148363

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:c1ec9696-02a7-8504-2ff4-58dd1fdaa6fb

Data as of May 29, 2020 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:01 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CCM PARTNERS

MANAGING MEMBER

yes

08/2008

Mar 30, 2012

May 29, 2020

CLARK, MATTHEW, TAYLOR

NON-MANAGING MEMBER

yes

08/2008

Mar 30, 2012

May 29, 2020

CUTTER, CURTIS, BROOKS

Trustee

yes

10/1999

Mar 30, 2012

May 29, 2020

MOCK, WILLIAM, PATRICK

PARTNER, CIO

yes

03/2011

Mar 30, 2012

May 29, 2020

PUSCH, GREGORY, THOMAS

GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER

yes

03/2017

Mar 29, 2017

May 29, 2020

RFS PARTNERS

GENERAL PARTNER

yes

07/1985

Mar 30, 2012

May 29, 2020

RICHARD F SHELTON INC

GENERAL PARTNER

yes

07/1985

Mar 30, 2012

May 29, 2020

RICHARD F SHELTON IRREVOCABLE TRUST

CONTROLLING ENTITY

yes

07/1985

Mar 30, 2012

May 29, 2020

ROGERS, CELIA, SHELTON

Trustee

yes

10/1999

Mar 30, 2012

May 29, 2020

ROGERS, STEPHEN, CRAIG

SENIOR PARTNER, CEO

yes

03/2011

Mar 30, 2012

May 29, 2020

ROGERS, STEPHEN, CRAIG

Trustee

yes

10/1999

Mar 30, 2012

May 29, 2020

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CCM PARTNERS, LP

n/a

Mixed wealth

$6.5B

yes

n/a

RFS PARTNERS

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

May 29, 2020

n/a

2018

Aug 1, 2019

n/a

2017

Mar 29, 2018

n/a

2016

Mar 29, 2017

n/a

2015

Mar 28, 2016

n/a

2014

Mar 31, 2015

n/a

2013

Mar 28, 2014

n/a

2012

Mar 28, 2013

n/a

2011

Mar 30, 2012

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

n/a