ALPINE WEALTH ADVISORS, LLC of DENVER, CO is an SEC-registered investment adviser (CRD 105433). Regulatory assets under management: $115.7M.
Compensation: % of AUM.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| Blair Ellen Quinn | MANAGING MEMBER LLC / CCO | — |
| SWEET WILLIAM ELLERY | OWNER | — |
| JAMISON JAMES LEROY | CCO; CHIEF COMPLIANCE OFFICER | — |
| QUINN BLAIR ELLEN | MANAGING MEMBER LLC / CCO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-02-13 | regulatory | FAILED TO MATERIALLY COMPLY WITH NOVEMBER 2021 ORDER NO. 2021-CDS-028. FAILED TO RETAIN A COMPLIANCE CONSULTANT, APPROVED BY THE DIVISION FOR A PERIOD OF TWO (2) YEARS TO ENSURE COMPLIANCE WITH A 2021 EXAM DEFICIENCY LETTER, FAILED TO TIMELY FILE AND UPDATE DISCLOSURE DOCUMENTS, AND FAILED TO REVIEW… | Final | — |
| 2021-11-01 | regulatory | FAILURE TO RENEW INVESTMENT ADVISER REPRESENTATIVE LICENSES; FAILURE TO MAINTAIN REQUIRED BOOKS AND RECORDS, FILE ANNUAL UPDATING AMENDMENTS AND TIMELY PROVIDE BOOKS AND RECORDS TO EXAMINATION STAFF. | Final | — |