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Manager and Chief Compliance Officer · A & I Wealth Management

Karl F. Frank

CRD 4769985 · Named on Form ADV at one SEC-registered adviser

At a glance

A & I Wealth Management, an SEC-registered wealth manager based in Lone Tree, CO with $560 million in regulatory assets, lists Karl F. Frank on its Form ADV as Manager and Chief Compliance Officer, a control person.

Firms and roles

  • A & I Wealth ManagementManager and Chief Compliance OfficerWealth manager · Lone Tree, CO · $560M in regulatory assets

AtlasMembers

Karl’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
1 firmLocked
When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Karl’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.