DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Kozak & Tripp Private Asset Management, Inc.
Latest filing Apr 15, 2026
First filing on the tape Aug 3, 2018 · 23 filings
SEC status approved since Sep 6, 2018
RAUM
$813M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$793M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$271M
derived; firm RAUM over IAPD count
Employees
10
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$813M as of Apr 15, 2026
Mar 18, 2019$232M then
HNW client RAUM$560M as of Apr 15, 2026
Mar 18, 2019$125M then
State-registered IARs (5.B.3)2 as of Apr 15, 2026
Mar 18, 20192 then
Employees (5.A)10 as of Apr 15, 2026
Mar 18, 20192 then
Private funds: no history
RAUM +15% over the last fiscal year+21% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Apr 15, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $271MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 258derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $340,318derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Custody
- $116,024, 2 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$560M69%
- Individuals$234M29%
- Corporations and businesses$19.7M2.4%
- Charitable organizations$207,2200.0%
- Individual clients
- 622reported
- HNW clients
- 153reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 2,390reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $116,024 for 2 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Christopher Kozak | Highlands Ranch, Co | Sep 7, 2018 | 20 y | 1 |
| Trevor Nolen Tripp | Highlands Ranch, Co | Sep 12, 2018 | 16 y | 1 |
| Connor David Crockett | Highlands Ranch, Co | May 25, 2026 | 12 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Trevor Nolen Tripp from Cetera Advisors LLCSep 12, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
- Christopher Kozak from Cetera Advisors LLCSep 7, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Cetera Advisors LLCOct 10, 2018 · Greenwood Village, Co
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Christopher Kozak · Owner, Ccocontrolsince 07/2018 · owns 50% to 75%
- Nolen Trevor Tripp · Ownercontrolsince 07/2018 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Highlands Ranch, Co · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2,230 to 2,390Feb 19, 2025 to Feb 26, 2026
- Charity clients · unset to 3.0Feb 19, 2025 to Feb 26, 2026
- Corporate clients · 9 to 13Feb 19, 2025 to Feb 26, 2026
- HNW clients · 176 to 153Feb 19, 2025 to Feb 26, 2026
- Individual clients · 563 to 622Feb 19, 2025 to Feb 26, 2026
- Discretionary RAUM · $705M to $812MFeb 19, 2025 to Feb 26, 2026
- HNW RAUM · $520M to $560MFeb 19, 2025 to Feb 26, 2026
- Individual RAUM · $176M to $234MFeb 19, 2025 to Feb 26, 2026
- Non-discretionary RAUM · $1.2M to $1.1MFeb 19, 2025 to Feb 26, 2026
- RAUM · $706M to $813MFeb 19, 2025 to Feb 26, 2026
- Advisory activities · 4 to 3Mar 1, 2024 to Feb 19, 2025
- Accounts · 2,087 to 2,230Mar 1, 2024 to Feb 19, 2025
- Corporate clients · 14 to 9Mar 1, 2024 to Feb 19, 2025
- HNW clients · 149 to 176Mar 1, 2024 to Feb 19, 2025
- Individual clients · 584 to 563Mar 1, 2024 to Feb 19, 2025
- Pension plan clients · 6.0 to unsetMar 1, 2024 to Feb 19, 2025
- Assets in custody · $1.7M to $116,024Mar 1, 2024 to Feb 19, 2025
- Financial planning clients · 0 to 0Mar 1, 2024 to Feb 19, 2025
- Discretionary RAUM · $628M to $705MMar 1, 2024 to Feb 19, 2025
- HNW RAUM · $454M to $520MMar 1, 2024 to Feb 19, 2025
- Individual RAUM · $155M to $176MMar 1, 2024 to Feb 19, 2025
- Non-discretionary RAUM · $584,330 to $1.2MMar 1, 2024 to Feb 19, 2025
- Pension RAUM · 584330.0 to unsetMar 1, 2024 to Feb 19, 2025
- RAUM · $628M to $706MMar 1, 2024 to Feb 19, 2025
- Accounts · 1,992 to 2,087Jan 23, 2023 to Mar 1, 2024
- Corporate clients · 16 to 14Jan 23, 2023 to Mar 1, 2024
- HNW clients · 73 to 149Jan 23, 2023 to Mar 1, 2024
- Individual clients · 606 to 584Jan 23, 2023 to Mar 1, 2024
- Pension plan clients · unset to 6.0Jan 23, 2023 to Mar 1, 2024
- Assets in custody · $925,631 to $1.7MJan 23, 2023 to Mar 1, 2024
- Discretionary RAUM · $449M to $628MJan 23, 2023 to Mar 1, 2024
- HNW RAUM · $236M to $454MJan 23, 2023 to Mar 1, 2024
- Individual RAUM · $202M to $155MJan 23, 2023 to Mar 1, 2024
- Non-discretionary RAUM · $8.6M to $584,330Jan 23, 2023 to Mar 1, 2024
- Pension RAUM · unset to 584330.0Jan 23, 2023 to Mar 1, 2024
- RAUM · $457M to $628MJan 23, 2023 to Mar 1, 2024
- Accounts · 1,875 to 1,992Jun 7, 2022 to Jan 23, 2023
- Corporate clients · 6 to 16Jun 7, 2022 to Jan 23, 2023
- HNW clients · 128 to 73Jun 7, 2022 to Jan 23, 2023
- Individual clients · 452 to 606Jun 7, 2022 to Jan 23, 2023
Signals
3 dated events
- Kozak & Tripp Private Asset Management, Inc. reported RAUM $628.4M, up 37% from $457.5M (2023-01-23 to 2024-03-01)Mar 1, 2024 · RAUM change · derived
- Kozak & Tripp Private Asset Management, Inc. reported RAUM $434.1M, up 35% from $320.8M (2020-09-03 to 2021-02-08)Feb 8, 2021 · RAUM change · derived
- Kozak & Associates, Inc. filed its initial SEC registration (Form ADV)Aug 3, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 303-284-9371reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 303-847-4045reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/kozak-&-associatesreportedpublic record, Form ADV, Sep 17, 2026
- Website
- kozaktripp.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 303-847-4045reportedpublic record, Form ADV, Apr 15, 2026
- Contact form
- kozaktripp.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- kozaktripp.com/teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $271Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026