InvestorTrustHub · Colorado

Colorado Investment Adviser & Securities Intelligence

This page organizes separate Colorado research lenses: SEC/IARD firms with a Colorado principal office, Colorado state-registered investment-adviser firms from the IAPD state compilation, federal-covered Colorado notice filings, and official Colorado Division of Securities verification paths. It does not rank advisers, score firms, or publish a Trust Score. A Colorado principal office is not Colorado state registration.

We organize the evidence. You decide.

Research CO-headquartered SEC/IARD firms Verify a license

State of the record

Universe · Current · Notice · Observations · As-of

589

Universe

SEC/IARD roster firms with a Colorado principal office. Not the state-RIA roster.

Trace this number

Source. SEC IARD firm compilation / reconciled roster geography

Source date. 2026-08-27

Coverage. National roster overlay

Grain. SEC IARD roster firm with principal-office region = CO

Calculation. COUNT of roster firms with principal-office region CO = 589. Same-source national roster = 23,622; resolved geography = 17,997; unresolved = 5,625.

Caveat. This is the national SEC/IARD roster overlay for firms that report a Colorado principal office on the reconciled 23,622-firm geography table (CO = 589). It is not the Colorado state-registered adviser universe, not a federal-covered notice-filing count, and not proof of current Colorado Division of Securities authority. COLORADO PRINCIPAL OFFICE != COLORADO STATE REGISTRATION. These 589 firms already exist in the federal graph and are not net-new organizations. A raw compilation MainAddr=@State=CO count is a different extract and is not this overlay.

740

Current

Colorado state-registered investment-adviser firms (IAPD state compilation, APPROVED).

Trace this number

Source. https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_FIRM_STATE_Feed_08_27_2026.xml.gz

Source date. 2026-08-27

Coverage. ACQUIRED_IAPD_STATE_COMPILATION

Grain. state-registered investment adviser firm; registration jurisdiction = CO

Calculation. 741 Colorado StateRgstn rows; 741 distinct firm CRDs; 740 APPROVED; 1 TERMREQUEST. Filter is Rgltr/@Cd=CO, not address.

Caveat. IAPD state compilation firms with Colorado as the registration jurisdiction and status APPROVED. This is not an SEC RIA count, not a federal-covered notice-filing count, not an ERA count, and not the 589 principal-office overlay. Duplicate/multi-jurisdiction rows were collapsed to distinct firm CRD. State-only CRDs were not minted as public SEC firm profiles and were not added to the 23,622 SEC/IARD roster.

3,673

Notice

SEC/IARD firms with a Colorado notice filing. Not state-RIA licensure.

Trace this number

Source. IA_FIRM_SEC_Feed_08_27_2026

Source date. 2026-08-27

Coverage. ACQUIRED_IAPD_SEC_COMPILATION

Grain. NoticeFiled/States/@RgltrCd=CO and status FILED

Calculation. 3673 notice rows; 3673 distinct CRDs with status FILED. Overlap with approved state IA = 6.

Caveat. Federal-covered / notice-filed is not Colorado state-RIA licensure. Notice-filed is not the 589 principal-office overlay. A Colorado principal office does not prove a current notice filing. The credential classes are separate but the source populations are not perfectly disjoint; six firm CRDs appear in both source-defined sets in the 2026-08-27 compilations.

Observations

Sanctions narrative entries profiled. Name-only. Not attached to firm profiles.

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Source. https://securities.colorado.gov/sanctions-against-licensees

Source date. 2026-09-09

Coverage. NARRATIVE_INDEX_PROFILED_NOT_ATTACHED

Grain. dated narrative sanction entry

Calculation. 10 dated entries; CRDs in static HTML = 0; name-only = 10. Enforcement table rows extracted = 0. PDFs downloaded = 0.

Caveat. The Division publishes an enforcement-actions table and a sanctions-against-licensees narrative. The table is JS-rendered and was not extracted as bulk rows. Ten dated narrative entries were profiled; none contain CRD/IARD in static HTML. Name-only attachment is unsafe. Action count is not quality. No action found is not a clean record. Complaint is not a violation. Allegation is not a final finding.

2026-08-27

As-of

IAPD compilations IA_FIRM_SEC_Feed_08_27_2026. Web indexes retrieved 2026-09-09.

Trace this number

Source. Committed CO-INV-001 public snapshot

Source date. 2026-09-09

Coverage. Deterministic generator

Grain. snapshot

Calculation. Fingerprint b4a5808d2758bc5f…

Caveat. Numbers on this page must match the generated snapshot. Retrieval time is not sourceAsOf.

What the sources say

Colorado evidence findings

FEDERAL GEOGRAPHY

589 SEC/IARD roster firms report a Colorado principal office

That is 3.27% of roster firms with a resolved principal-office region (17,997). It is not Colorado licensed advisers and not net-new companies.

STATE RIA LAYER

740 Colorado state-registered investment-adviser firms

Selected by IAPD registration jurisdiction CO, not address. 741 registration rows and 741 distinct firm CRDs stay separate fields. 1 TERMREQUEST row is not counted as approved current. This is not the 589 principal-office overlay.

CLASS SEPARATION

National roster: 17,018 RIA facts and 6,604 ERA facts. Colorado state ERA reporting: 209 firms

National roster keeps RIA (17,018) and ERA (6,604) separate. Committed geography is on the combined roster. Colorado principal-office counts are not an RIA-only or ERA-only state denominator. ERA is not an RIA. SEC RIA is not a Colorado state RIA. State ERA reporting is not state RIA.

NOTICE FILING

3,673 SEC/IARD firms with a Colorado notice filing

Notice-filed is not Colorado state licensure. The credential classes are separate but the source populations are not perfectly disjoint; 6 firm CRDs appear in both source-defined sets in the 2026-08-27 compilations.

ENFORCEMENT IDENTITY

10 sanctions narrative entries; 10 are name-only

The enforcement-actions table is JS-rendered and was not extracted. Name-only attachment is unsafe. Native action class is not on the static page. PDFs were not downloaded. Action count is not quality.

ENTITY GROWTH

This ticket adds intelligence, not new canonical firms

Expansion ledger: net-new canonical organizations 0; net-new public profiles 0; new state identities 950; existing organizations enriched 0; state registration rows 950; federal notice-filing rows 3673; exact adverse attachments 0; rejected unsafe joins 10. Federal overlay is not entity growth.

Find advisers

Federal research, state registration, and notice filing stay separate

Federal SEC/IARD research: firms reporting a CO principal office or any SEC/IARD firm. Identity is CRD / SEC file number. This list is not the Colorado state-registered adviser roster.
Colorado state-registered investment-adviser firms: 740 APPROVED firms in the IAPD state compilation with jurisdiction CO. Verify a named firm on SEC IAPD or NASAA Verify a License. Do not scrape those search tools.
Federal-covered notice filing is a different credential from state licensure. Official Colorado IA/IAR path: IA and IAR licensing.
Investment adviser representative verification remains person-grain on IAPD. IAR is not the firm. IAR is not a salesperson. Search V1 does not resolve person CRD as firm CRD.
Broker-dealer / salesperson research remains on FINRA BrokerCheck. Broker-dealer is not an investment adviser. BrokerCheck is not scraped here.

Regulator map

What each credential proves

SEC RIA is not a state RIA. CRD identity is not current Colorado authority.
Credential	Regulator	What it proves	What it does not prove
SEC-registered investment adviser	U.S. Securities and Exchange Commission / IARD	Federal registration category as reported on Form ADV in the cited extract	Colorado state-RIA licensure or current Colorado notice-filing status
Exempt reporting adviser (ERA)	SEC / IARD (and Colorado notice/reporting when applicable)	ERA reporting status in the cited extract	SEC RIA registration or Colorado state-RIA licensure
Colorado state-registered investment adviser	Colorado Division of Securities / IARD	Colorado state-IA registration when the official IARD state record says APPROVED	SEC registration. Principal-office geography is not this credential.
Federally covered / notice-filed investment adviser	Colorado Division of Securities (notice) / SEC (federal registration)	Notice-filing posture when the official IARD record says FILED	Colorado state-RIA licensure. Notice-filed is not the state-licensed universe.
Investment adviser representative	Colorado Division of Securities / CRD	Individual representative reporting when official CRD evidence exists	Firm registration. IAR is not the firm. IAR is not a salesperson.
Broker-dealer / securities salesperson	Colorado Division of Securities / FINRA / CRD	Broker-dealer or salesperson registration when official evidence exists	Investment-adviser registration
Issuer / securities filing	Colorado Division of Securities / NASAA EFD / SEC EDGAR	A registration, exemption, or notice-filing posture when the official filing record says so	Investment quality, Form D approval, or adviser registration
CRD / IARD identifier	FINRA CRD / IARD infrastructure	A stable identity key when source-native	Current Colorado authority by itself

Registration framework

SEC, Colorado Division of Securities, IAR, and broker-dealer stay on separate paths

This is consumer orientation, not legal advice, and not a calculation of any firm's registration eligibility. Colorado Securities Act (C.R.S. Title 11, Article 51) administered by the Colorado Division of Securities — investment-adviser and IAR licensure, federally covered adviser notice filing, broker-dealer and salesperson licensing, and securities registration/exemptions/notice filings.

Firms that are SEC-registered typically notice-file in Colorado through IARD when Colorado is a notice-filing jurisdiction. Official path: investment adviser / IAR licensing and notice filing.
Colorado state licensure may apply to advisers that are not SEC-registered. The bulk layer on this page is the IAPD state compilation filtered by jurisdiction CO.
Individuals who render advisory services generally license as investment adviser representatives. IAR is not the firm. Official path: IAR licensing.
Broker-dealer and securities salesperson registration is a different credential from investment-adviser licensure. Verify BD/salesperson status on BrokerCheck. Do not treat one as the other.

Issuer / EFD / Form D

Official Colorado research paths

Federal Form D is not Colorado qualification or approval. EFD/notice filings are not a quality ranking. No statewide issuer bulk denominator was acquired. Issuer is not an adviser. Statute C.R.S. Title 11, Article 51.

Securities registration: Colorado registering securities
NASAA EFD: nasaaefd.org
Bulk issuer dataset: SOURCE_NOT_ACQUIRED
Federal Form D overlay: SOURCE_NOT_ACQUIRED. FORM D / EFD FILING != COLORADO STATE APPROVAL. FORM D FILING != INVESTMENT QUALITY. FORM D FILING != ADVISER.

Exam / CE / Form ADV / RAUM

Qualification, disclosure, and RAUM stay in their grains

Colorado publishes examination-process guidance, 2026 examination priorities, and IAR continuing-education rules. That is qualification and exam-program context, not a public firm-level examination scorecard and not a person exam directory. Exam requirement is not a quality score. CE is not investment performance.

Official examination page: the examination process. IAR CE: continuing-education requirements. Form ADV is a filing, not the firm. RAUM is a reported regulatory-assets figure, not investment performance. Investor education stays educational: Colorado investor resources.

Complaints

A complaint path is not a violation count

A public complaint form is a research path. Complaint volume was not acquired. Complaint is not a violation. Missing complaints are unknown, not zero. Official path: file a complaint.

Public contacts

No Colorado search scrape and no person directory

Official/public business sources only. No internet enrichment. No IAPD/BrokerCheck/DORA search scrape. No person contact publication from this ticket.

Used only as geography for the SEC/IARD overlay; not republished here as a harvested directory.

Evidence depth

Source families

Coverage describes availability. Missing is unknown, not zero.
Family	Agency	As of	Grain	Count / rows	Limitations
SEC/IARD RIA (national)	SEC / IARD	2026-08-27	Form ADV / IARD firm fact	17,018	National class. Not a Colorado state-RIA count.
ERA (national)	SEC / IARD	2026-08-27	ERA reporting fact	6,604	ERA is not an RIA.
CO principal-office overlay	SEC / IARD	2026-08-27	SEC IARD roster firm with principal-office region = CO	589	This is the national SEC/IARD roster overlay for firms that report a Colorado principal office on the reconciled 23,622-firm geography table (CO = 589). It is not the Colorado state-registered adviser universe, not a federal-covered notice-filing count, and not proof of current Colorado Division of Securities authority. COLORADO PRINCIPAL OFFICE != COLORADO STATE REGISTRATION. These 589 firms already exist in the federal graph and are not net-new organizations. A raw compilation MainAddr=@State=CO count is a different extract and is not this overlay.
Colorado state-registered IA firms	IAPD state compilation	2026-08-27	state-registered IA firm; jurisdiction CO; APPROVED	740	IAPD state compilation firms with Colorado as the registration jurisdiction and status APPROVED. This is not an SEC RIA count, not a federal-covered notice-filing count, not an ERA count, and not the 589 principal-office overlay. Duplicate/multi-jurisdiction rows were collapsed to distinct firm CRD. State-only CRDs were not minted as public SEC firm profiles and were not added to the 23,622 SEC/IARD roster.
Colorado federal-covered notice filing	SEC / IARD	2026-08-27	NoticeFiled RgltrCd=CO FILED	3,673	Federal-covered / notice-filed is not Colorado state-RIA licensure. Notice-filed is not the 589 principal-office overlay. A Colorado principal office does not prove a current notice filing. The credential classes are separate but the source populations are not perfectly disjoint; six firm CRDs appear in both source-defined sets in the 2026-08-27 compilations.
Colorado state ERA reporting	IAPD state compilation	2026-08-27	ERA/Rgltr/@Cd=CO ACTIVE	209	ERA reporting is not state RIA and is not an SEC RIA count.
IAR / person	IAPD / Colorado Division of Securities	2026-08-27	person CRD	UNKNOWN / not a directory	The national IAR compilation exists. This ticket does not publish a Colorado person directory and does not resolve person CRD as firm CRD. IAR is not the firm. IAR is not a salesperson. Search V1 remains firm-focused.
Broker-dealer / salesperson	FINRA / Colorado Division of Securities	n/a	official search	UNKNOWN	Broker-dealer is not an investment adviser. Salesperson is not an IAR. Dual registration is possible and does not collapse the credentials. BrokerCheck is not scraped.
Colorado enforcement / sanctions	Colorado Division of Securities	2026-09-09	narrative index entry	10	The Division publishes an enforcement-actions table and a sanctions-against-licensees narrative. The table is JS-rendered and was not extracted as bulk rows. Ten dated narrative entries were profiled; none contain CRD/IARD in static HTML. Name-only attachment is unsafe. Action count is not quality. No action found is not a clean record. Complaint is not a violation. Allegation is not a final finding.
Complaints	Colorado Division of Securities	2026-09-09	public research path	UNKNOWN	A public complaint form is a research path. Complaint volume was not acquired. Complaint is not a violation. Missing complaints are unknown, not zero.
Issuer / EFD / Form D	Colorado Division / NASAA EFD / SEC	2026-09-09	statute / rule / notice filing	SOURCE_NOT_ACQUIRED bulk	Federal Form D is not Colorado qualification or approval. EFD/notice filings are not a quality ranking. No statewide issuer bulk denominator was acquired. Issuer is not an adviser.
Exam / CE	Colorado Division of Securities	2026-09-09	qualification exam / CE / rule text	no firm-level public scorecard	Colorado publishes examination-process guidance, 2026 examination priorities, and IAR continuing-education rules. That is qualification and exam-program context, not a public firm-level examination scorecard and not a person exam directory. Exam requirement is not a quality score. CE is not investment performance.

What we don't yet know

Missing sources block a metric, not this page

Colorado Division of Securities does not publish a downloadable state-IA CSV on the public site; the bulk state-IA layer used here is the IAPD state compilation, not a DORA extract.
Complete Colorado IAR person universe is UNKNOWN and is not published as a person directory.
Complete Colorado broker-dealer and salesperson rosters are UNKNOWN (OPEN_SEARCH_ONLY).
The Division enforcement-actions table is JS-rendered and was not extracted as bulk rows.
No Form D / EFD Colorado overlay is in the committed product.
No statewide issuer bulk denominator was acquired.
Committed geography is not split into CO RIA vs CO ERA.
Exact Colorado registration status is not known from DORA HTML for every SEC/IARD firm with a CO principal office.
Prior state pages (NJ/CA/TX/WA/AZ) were not retrofitted onto this IAPD state compilation.

COLORADO PRINCIPAL OFFICE != STATE REGISTRATION
SEC RIA != COLORADO STATE RIA
STATE RIA != FEDERAL-COVERED NOTICE FILING
RIA != ERA
IAR != FIRM
BROKER-DEALER != IA
SALESPERSON != IAR
FORM ADV FILING != FIRM
RAUM != INVESTMENT PERFORMANCE
FORM D / EFD FILING != COLORADO APPROVAL
ISSUER != ADVISER
COMPLAINT != VIOLATION
ALLEGATION != FINAL FINDING
NAME-ONLY ADVERSE MATCH = UNSAFE
PERSON CRD != FIRM CRD
FEDERAL OVERLAY != ENTITY GROWTH
MISSING != ZERO
NO FAKE COMBINED COLORADO ADVISER DENOMINATOR
NO TRUST SCORE
NO PAID RANKING