INVESTMENT RESEARCH CORP of DENVER, CO is an SEC-registered investment adviser (CRD 108208). Regulatory assets under management: $76.3M.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Charities.
| Name | Role | Location |
|---|---|---|
| Timothy Eugene Taggart | PRESIDENT, TREASURER AND CHIEF COMPLIANCE OFFICER | — |
| Michael Lawrence Gaughan | VICE PRESIDENT AND CORPORATE SECRETARY | — |
| Patricia Ann Blum | VICE PRESIDENT | — |
| BRODY ROBERT DAVID | PRES., TREAS., & DIR., & OWNER | — |
| TAGGART TIMOTHY EUGENE | EXECUTIVE VICE PRESIDENT; EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER; EX.V.P. & DIR. (+1 more) | — |
| GAUGHAN MICHAEL LAWRENCE | CORP SEC; VICE PRESIDENT AND CORPORATE SECRETARY | — |
| SCHULTZ DAVID JOHN | EXECUTIVE VICE PRESIDENT | — |
| BAIRD DORIS LEANN | CORP. SEC. & DIRECTOR | — |
| CARLSON LISA A | CORP. SEC & DIRECTOR | — |
| BLUM PATRICIA ANN | VICE PRESIDENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-03-11 | regulatory | FAILING TO MAKE REQUIRED DISCLOSURES RELATING TO THEIR SELECTION OF MUTUAL FUND SHARE CLASSES THAT PAID THE ADVISERS (AS DUALLY REGISTERED BROKER-DEALERS) OR THEIR RELATED ENTITIES OR INDIVIDUALS A FEE PURSUANT TO RULE 12B-1 OF THE INVESTMENT COMPANY ACT OF 1940 ("12(B)-1" FEE) WHEN A LOWER-COST SHA… | Final | — |