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Chief Compliance Officer · Raub Brock Capital Management, LP

Wendy J. Phillippay

CRD 7348212 · Named on Form ADV at one SEC-registered adviser

At a glance

Raub Brock Capital Management, LP, an SEC-registered asset manager based in Larkspur, CA with $2.9 billion in regulatory assets, lists Wendy J. Phillippay on its Form ADV as Chief Compliance Officer, a control person.

Firms and roles

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Wendy’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

  • Richard H. AlpertLimited Partner and Portfolio Manager, Raub Brock Capital Management, LP

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