CLIFTONLARSONALLEN WEALTH ADVISORS, LLC of MINNEAPOLIS, MN is an SEC-registered investment adviser (CRD 38357). Regulatory assets under management: $14.4B.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Brian Jacob Buffie | CHIEF COMPLIANCE OFFICER | — |
| William Clayton Bland | CHIEF EXECUTIVE OFFICER | — |
| Jaclyn Suzanne Van Horrick | FINANCIAL OPERATIONS PRINCIPAL; PRINCIPAL FINANCIAL OFFICER; PRINCIPAL OPERATIONS OFFICER | — |
| HOULE NICHOLAS JOSEPH | FINANCIAL PLANNER; MANAGER OF FINANCIAL AND ESTATE PLANNING | — |
| MCCONNELL MICHAEL DOMINIC | MANAGING PRINCIPAL AND GOVERNOR; PRINCIPAL AND GOVERNOR; PRINCIPAL AND GOVERNOR (CFO) | — |
| VIERE GORDON ARNOLD | GOVERNOR | — |
| HALLADA ANTONY REED | CHIEF EXECUTIVE OFFICER; MANAGING PRINCIPAL (CEO); MANAGING PRINCIPAL, DIRECTORY OF INVESTMENT ADVISORY SERVICES (+1 more) | — |
| GRAVES PETER JOHN | CHIEF COMPLIANCE OFFICER (CCO) | — |
| BETZ CHARLES CURTIS | CFO | — |
| BUSHMAN BRUCE GERALD | CHIEF EXECUTIVE OFFICER | — |
| JOHNSON RONALD BRENT | CHIEF FINANCIAL OFFICER; FINANCIAL OPERATIONS PRINCIPAL; PRINCIPAL FINANCIAL OFFICER (+1 more) | — |
| KREBSBACH MARK RAYMOND | GOVERNOR | — |
| MONGEON DONALD JOSEPH | MANAGER OF PENSION INVESTMENT CONSULTING | — |
| JOHNSON CHRISTOPHER TRIG | DIRECTOR OF OPERATIONS & CHIEF COMPLIANCE OFFICER | — |
| MONGEON DONALD | MANAGER OF PENSION INVESTMENT CONSULTING | — |
| WETHERILLE RANDALL LEE | CHIEF COMPLIANCE OFFICER | — |
| NANNINGA ALLEN JOSEPH | CHIEF FINANCIAL OFFICER | — |
| MARVEL CLINTON ALLEN | CHIEF FINANCIAL OFFICER | — |
| BUFFIE BRIAN JACOB | CHIEF COMPLIANCE OFFICER | — |
| UROSEVICH JOHN ROBERT | CHIEF OPERATING OFFICER | — |
| BLAND WILLIAM CLAYTON | CHIEF EXECUTIVE OFFICER | — |
| VAN HORRICK JACLYN SUZANNE | FINANCIAL OPERATIONS PRINCIPAL; PRINCIPAL FINANCIAL OFFICER; PRINCIPAL OPERATIONS OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-10-05 | regulatory | FROM APRIL 2017 UNTIL APRIL 2022, DUE TO AN ADMINISTRATIVE ERROR, CLIFTONLARSONALLEN WEALTH ADVISORS, LLC FAILED TO REGISTER ONE EMPLOYEE AS AN IAR IN THE STATE OF PENNSYLVANIA. | Final | $60K |