{
  "crd_number": 148357,
  "slug": "a-and-i-wealth-management-lone-tree-co-148357",
  "primary_business_name": "A & I WEALTH MANAGEMENT",
  "legal_name": "A & I FINANCIAL SERVICES, LLC",
  "dbas": [],
  "city": "Lone Tree",
  "state": "CO",
  "country": "United States",
  "cbsa_code": "19740",
  "metro": {
    "cbsa_code": "19740",
    "common_name": "Denver",
    "msa_name": "Denver-Aurora-Centennial, CO",
    "path": "/advisors/co/denver"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2009-01-05",
  "years_registered": 17,
  "period": "2026-10-01",
  "filing_date": "2026-04-08",
  "carried_forward": false,
  "raum_total": 559998114.0,
  "raum_discretionary": 506347455.0,
  "raum_non_discretionary": 53650659.0,
  "raum_band": "500m_1b",
  "raum_band_label": "$500 million to $1 billion",
  "total_employees": 9,
  "advisory_employees": 9,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "charitable": {
      "raum": 1223017.0,
      "count": null,
      "fewer_than_5": true
    },
    "individuals": {
      "raum": 160334427.0,
      "count": 353
    },
    "pension_profit_sharing": {
      "raum": 2591649.0,
      "count": null,
      "fewer_than_5": true
    },
    "high_net_worth_individuals": {
      "raum": 395849021.0,
      "count": 165
    }
  },
  "compensation_types": [
    "fixed",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "AZ",
    "CA",
    "CO",
    "FL",
    "NE",
    "TX",
    "UT",
    "WA"
  ],
  "websites": [
    "https://assetsandincome.com",
    "https://facebook.com/AandIWealthManagement",
    "https://linkedin.com/company/a&i-financial-services",
    "https://youtube.com/channel/UCakfq8mzV3Z0aLaB7JX_RQA"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/148357",
  "city_as_filed": "LONE TREE",
  "url": "https://advisorcensus.com/firm/a-and-i-wealth-management-lone-tree-co-148357",
  "display_name": "A & I Wealth Management",
  "summary": "A & I Wealth Management is an SEC-registered investment advisory firm in Lone Tree, CO, registered since 2009, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated April 8, 2026.",
  "citation": "AdvisorCensus. A & I Wealth Management (CRD 148357): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is A & I Wealth Management compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), A & I Wealth Management reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees)."
    },
    {
      "q": "How much does A & I Wealth Management charge?",
      "a": "Its Form ADV Part 2A brochure dated March 16, 2026 states: Subscription: $2,500 a quarter (on-going consultation services). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is A & I Wealth Management located?",
      "a": "A & I Wealth Management's principal office is in Lone Tree, CO, according to its Form ADV."
    },
    {
      "q": "Is A & I Wealth Management registered with the SEC or a state?",
      "a": "A & I Wealth Management is an SEC-registered investment advisory firm, registered since 2009. Status as filed: Approved. CRD 148357."
    },
    {
      "q": "How much does A & I Wealth Management manage?",
      "a": "A & I Wealth Management reports $559,998,114 in regulatory assets under management in its Form ADV filing dated April 8, 2026 (90% discretionary)."
    },
    {
      "q": "How have A & I Wealth Management's assets and staff changed since 2021?",
      "a": "In the Form ADV data for A & I Wealth Management: Regulatory assets under management: $421,897,882 in the October 2021 data and $559,998,114 in the October 2026 data, up 33%. Total employees: 10 in October 2021 and 9 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does A & I Wealth Management serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (353); high net worth individuals (165)."
    },
    {
      "q": "Which custodians does A & I Wealth Management use?",
      "a": "A & I Wealth Management's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Axos Clearing LLC as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does A & I Wealth Management report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/148357"
    },
    {
      "q": "What changed in A & I Wealth Management's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Regulatory assets under management went from $463,877,312 to $559,998,114 (+21%)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 421897882.0,
      "total_employees": 10,
      "filing_date": "2021-09-09"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 455902748.0,
      "total_employees": 10,
      "filing_date": "2022-07-20"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 367538360.0,
      "total_employees": 10,
      "filing_date": "2023-07-11"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 412095862.0,
      "total_employees": 13,
      "filing_date": "2024-09-13"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 463877312.0,
      "total_employees": 9,
      "filing_date": "2025-02-22"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 559998114.0,
      "total_employees": 9,
      "filing_date": "2026-04-08"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $463,877,312 to $559,998,114 (+21%)."
      ]
    },
    {
      "period": "2026-02-01",
      "period_label": "February 2026",
      "notes": [
        "Registered or notice-filed in WA."
      ]
    },
    {
      "period": "2026-01-01",
      "period_label": "January 2026",
      "notes": [
        "No longer registered or notice-filed in MI."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 16, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": null,
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [
      "Subscription: $2,500 a quarter (on-going consultation services)"
    ],
    "figures": [
      {
        "label": "Planning fee",
        "statements": [
          "Subscription: $2,500 a quarter (on-going consultation services)"
        ],
        "quotes": [
          "Fees for on-going consultation services are charged at the end of each quarter at a rate of up to $2,500 per quarter."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": null,
      "minimum_annual_fee": null,
      "planning": [
        {
          "kind": "subscription",
          "amount": 2500.0,
          "min": null,
          "max": null,
          "period": "quarterly",
          "service": "on-going consultation services"
        }
      ]
    },
    "quotes": [
      "Fees for on-going consultation services are charged at the end of each quarter at a rate of up to $2,500 per quarter."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Axos Clearing LLC",
      "name_as_filed": "AXOS CLEARING LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/a-and-i-wealth-management-lone-tree-co-148357.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 353,
      "fewer_than_5": false,
      "raum": 160334427.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 165,
      "fewer_than_5": false,
      "raum": 395849021.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": null,
      "fewer_than_5": true,
      "raum": 2591649.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": null,
      "fewer_than_5": true,
      "raum": 1223017.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/148357",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}