Etspreads, LLC (Denver)

Name: Etspreads, LLC
Address: 1875 Lawrence Street, Denver, CO, 80202 1805
Telephone: 800-955-9988

Etspreads, LLC is an investment adviser to an investment company based in Denver. It has been registered with the SEC as an adviser since 2008.

Etspreads provides portfolio management for investment companies and investment company not yet public. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Etspreads, LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Etspreads serves?

The only and largest group of clients of Etspreads is investment companies with 4 clients and $0 of assets under management. Among the 2 most similar advisory firms, Etspreads has the highest percentage of investment companies out of all clients.

None of the firm’s clients are foreign persons or businesses.

Etspreads doesn't advise any private funds.

Careers at Etspreads, LLC

The company employs 3 people that are either part- or full-time employees. 67 percent of the employees work as investment advisers or researchers. 2 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Ccm Partners	Managing member	1 Aug 2008	25% - 50%	104720
William Patrick Mock	Non-managing member	1 Aug 2008	Other	4416745
Matthew Taylor Clark	Non-managing member	1 Aug 2008	Other	4378606
Rodney Douglas Yee	Chief compliance officer	1 Aug 2008	Other	1666068
Matthew Taylor Clark	Partner	1 Mar 2011	Other	4378606
Stephen Craig Rogers	Senior partner, ceo	1 Mar 2011	Other	2329685
William Patrick Mock	Partner, cio	1 Mar 2011	Other	4416745
Teresa Elaine Axelson	Cco	1 Oct 2013	Other	811502
Gregory Thomas Pusch	General counsel and chief compliance officer	1 Mar 2017	Other	6043925

Indirect Owners

The SEC currently registers 6 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Rfs Partners	General partner	1 Jul 1985	25% - 50%	18119
Richard F Shelton Inc	General partner	1 Jul 1985	75% - 100%	94-2977035
Richard F Shelton Irrevocable Trust	Controlling entity	1 Jul 1985	25% - 50%	94-6745815
Celia Shelton Rogers	Trustee	1 Oct 1999	25% - 50%	4887347
Curtis Brooks Cutter	Trustee	1 Oct 1999	25% - 50%	4909942
Stephen Craig Rogers	Trustee	1 Oct 1999	25% - 50%	2329685

Based in Denver

The principal office where Etspreads, LLC performs its advisory services is located at 1875 Lawrence Street, Denver, CO 80202 1805, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 800-955-9988 or by fax 303-534-5627. The normal business hours are 8:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at etspreads.com.