Unclaimed Profile

Richard Henry Alpert

RAUB BROCK CAPITAL MANAGEMENT, LP·LARKSPUR, California

Series 6, Series 7, Series 63, Series 65Clean record22 years registeredRAUB BROCK CAPITAL MANAGEMENT, LP

700 LARKSPUR LANDING CIRCLE, LARKSPUR, CA 94939CRD# 4487716Firm CRD# 153994

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Richard Henry Alpert · LARKSPUR, CA

Registration

CRD #4487716 · RAUB BROCK CAPITAL MANAGEMENT, LP · 22 years registered

Brand Profile

Not yet started

Career History

RAUB BROCK CAPITAL MANAGEMENT, LP

Jan 2021 – present

RAUB BROCK CAPITAL MANAGEMENT, LP

Nov 2010 – Dec 2020

LARKSPUR, CA

RAUB/BROCK CAPITAL MANAGEMENT, INC.

Jun 2010 – Nov 2010

LARKSPUR, CA

NEWFOCUS FINANCIAL GROUP, LLC

May 2005 – Dec 2010

VANCOUVER, WA

MML INVESTORS SERVICES, INC.

Feb 2004 – Jun 2005

SAN FRANCISCO, CA

Registrations & Exams

FINRA examinations passed

Series 6

Series 7

Series 63

Series 65

Registration record

First registered · February 11, 2004

Years registered · 22

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

RAUB BROCK CAPITAL MANAGEMENT, LP

CRD 153994 · SEC 801-71732

AUM

$3.1B

Regulatory assets under management

Employees

7,037 client accounts

Services offered by RAUB BROCK CAPITAL MANAGEMENT, LP

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at RAUB BROCK CAPITAL MANAGEMENT, LP →

Introduction

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Frequently Asked Questions

What services does Richard Henry Alpert offer?

Richard Henry Alpert specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in LARKSPUR, California for a consultation.

What are Richard Henry Alpert's credentials?

Richard Henry Alpert is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Richard Henry Alpert located?

Richard Henry Alpert is based in LARKSPUR, California, working with RAUB BROCK CAPITAL MANAGEMENT, LP. Their office serves clients in the LARKSPUR metropolitan area and surrounding communities.

How does Richard Henry Alpert charge for services?

Richard Henry Alpert's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is RAUB BROCK CAPITAL MANAGEMENT, LP?

RAUB BROCK CAPITAL MANAGEMENT, LP has approximately 9 employees and manages $3.1B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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