Asset manager · Denver, CO
Monticello Associates, LLC
SEC-registered investment adviser · CRD 107392 · SEC 801-51758
At a glance
Monticello Associates, LLC is an SEC-registered investment adviser based in Denver, Colorado, with $0 in regulatory assets under management as of its Form ADV filed May 8, 2026. It reports 263 individual clients. By Form ADV it is a asset manager, ranked 2,600th of 3,218 asset managers and 16,576th of 17,210 SEC-registered advisers by assets.
Main office 303-572-6300monticelloassociates.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $0M
- Rank among asset managers
- #2,600 of 3,218
- Rank among all SEC RIAs
- #16,576 of 17,210
- Rank in Colorado
- #354 of 359
- Individual clients
- 263
- High-net-worth clients
- 263
- Accounts
- 0
- Discretionary
- 0% of AUM
- Employees
- 58
- Advisory staff
- 31
- Offices
- 5
Owners and executives on its Form ADV
- Mayo A ShattuckMember, Board of Directors CCM
- John P. AmboianMember, Board of Directors CCM
- Paul E. TramontanoMember, Board of Directors CCM
- Eric D. BeckerMember, Board of Directors CCM
- Avy H. SteinMember, Board of Directors CCM
- Brenton G. DurhamMember, Board of Directors CCM
- Teresa A. SwartzVice President - Chief Financial Officer
- Mary ScholtenChief Compliance Officer
- Karl H. HeckenbergMember, Board of Directors CCM
Custody and brokerage
Custodian
Monticello Associates, LLC’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 263 | $0M | – |
| Pension and profit sharing plans | 7 | $0M | – |
| Charitable organizations | 156 | $0M | – |
Disciplinary disclosures
Monticello Associates, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Pension consulting
- Selecting other advisers
- Other services
How it’s paid
- Fixed fees
- Other
Form ADV and brochures on the SEC’s adviser search ↗monticelloassociates.com ↗
AtlasMembers
The full record on Monticello Associates, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
- Locked
- Growth over one, three and five years
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- Rank against 626 peers of its type and size
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- Owners and executives, with titles and stakes
- 9 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 4Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Monticello Associates, LLC manage?
Monticello Associates, LLC reports $0 in regulatory assets under management, on its Form ADV filed May 8, 2026.
What kind of firm is Monticello Associates, LLC?
Monticello Associates, LLC is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals. It reports a bank or thrift among its related persons.
Who are Monticello Associates, LLC’s clients?
By assets, its largest client types are high-net-worth individuals ($0, 263 clients); pension and profit sharing plans ($0, 7 clients); charitable organizations ($0, 156 clients).
Does Monticello Associates, LLC have any disciplinary history?
Monticello Associates, LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Monticello Associates, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-05-08), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →