AdvisorCensus / Financial advisors / Colorado / Denver / Monticello Associates, LLC
Monticello Associates, LLC is an SEC-registered investment advisory firm in Denver, CO, registered since 1996, with no regulatory assets under management reported in its Form ADV filing dated May 8, 2026.
Quick answers
From the filingHow is Monticello Associates, LLC compensated?
On its Form ADV (Item 5.E, October 2026), Monticello Associates, LLC reports these compensation arrangements: fixed fees (other than subscription fees); other.
Where is Monticello Associates, LLC located?
Monticello Associates, LLC's principal office is in Denver, CO, according to its Form ADV; the June 2026 filing also lists 3 other offices (Schedule D, Section 1.F).
Is Monticello Associates, LLC registered with the SEC or a state?
Monticello Associates, LLC is an SEC-registered investment advisory firm, registered since 1996. Status as filed: Approved. CRD 107392.
How have Monticello Associates, LLC's assets and staff changed since 2021?
In the Form ADV data for Monticello Associates, LLC: Total employees: 51 in October 2021 and 58 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Monticello Associates, LLC serve?
By number of clients on Form ADV Item 5.D: high net worth individuals (263); charitable organizations (156); pension and profit sharing plans (but not the plan participants or government pension plans) (7).
Does Monticello Associates, LLC report any disciplinary disclosures?
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/107392
What changed in Monticello Associates, LLC's recent Form ADV filings?
In the June 2026 filing data: Updated its list of owners and control persons (Schedule A).
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- Fixed fees (other than subscription fees)
- Other
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2ASee the firm's brochure (dated March 27, 2026) for its fees and any account minimum, on the SEC's IAPD site.
Regulatory assets under management
Item 5.FNot reported.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Pension consulting services
- Selection of other advisers (including private fund managers)
- Other
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 1996 (30 years)
- Employees
- Total: 58. Performing investment advisory functions: 31.
- Wrap fee program participation
- No.
- Other offices (Schedule D, Section 1.F)
-
3 other offices, as of the June 2026 filing
- States registered or notice-filed
-
10 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | Not reported | 58 | May 8, 2026 |
| October 2025 | Not reported | 57 | March 31, 2025 |
| October 2024 | Not reported | 57 | March 27, 2024 |
| October 2023 | Not reported | 55 | July 31, 2023 |
| October 2022 | Not reported | 53 | March 30, 2022 |
| October 2021 | Not reported | 51 | September 2, 2021 |
Total employees: 51 in October 2021 and 58 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- June 2026
- Updated its list of owners and control persons (Schedule A).
- April 2026
- Employees performing advisory functions went from 22 to 31.
- Registered or notice-filed in MD.
- Updated its list of owners and control persons (Schedule A).
- January 2026
- No longer registered or notice-filed in CA.
- December 2025
- Changed its legal name from Monticello Associates Inc to Monticello Associates, LLC.
- November 2025
- Updated its list of owners and control persons (Schedule A).
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Monticello Associates, LLC (CRD 107392): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/monticello-associates-llc-denver-co-107392