A & I Financial Services, LLC
● SEC registered since 2009CRD 148357SEC# 801-69819Lone Tree, CO
Reg. AUM
$560M
Employees
9
Accounts
1,683
Location
Lone Tree, CO
A & I Financial Services, LLC assets under management
A & I Financial Services, LLC is an investment advisory firm registered with the SEC based in Lone Tree, CO. The firm has been registered since 2009. It reports $560 million in regulatory assets under management and employs 9 people.
A & I Financial Services, LLC owners & executives
5 reported| Name | Title | Ownership | Since |
|---|---|---|---|
| A & I Holdings, LLC Control | Member | Over 75% | 2018 |
| Karl Fredrick Frank Control | Manager And Chief Compliance Officer | Under 5% | 2004 |
| Stacey Katrina Frank Control | Manager | Under 5% | 2004 |
See all 5 owners & executives — unlock the full record.
Join to unlock · $37/moFrequently asked questions
How much does A & I Financial Services, LLC manage?
A & I Financial Services, LLC reports $560 million in regulatory assets under management on its Form ADV.
How many employees does A & I Financial Services, LLC have?
A & I Financial Services, LLC reports 9 employees.
Where is A & I Financial Services, LLC located?
A & I Financial Services, LLC is based in Lone Tree, CO and has been SEC-registered since 2009.
Does A & I Financial Services, LLC disclose fund performance?
A & I Financial Services, LLC is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.
Contact & registration
| Address | 9605 Kingston Court, Suite 190, Lone Tree, CO 80112 |
| Phone | 303-690-5070 |
| Fax | 303-699-8945 |
| Office hours | 8:00 a.m. To 5:00 p.m. |
| SEC region | Denver Regional Office (DRO) |
| CIK | 1728031 |
| Discloses disciplinary history | No |
Regulatory AUM
$560M▲ 21%
Feb '25Form ADV, monthlyJun '26
How this firm compares
Regulatory AUMTop 45%
Larger than 55% of 16,271 advisers
EmployeesTop 43%
More than 57% of 16,825 advisers
Assets under management
$560Mregulatory AUM
Discretionary $506.3MNon-discretionary $53.7M