Raub Brock Capital Management, Lp
- Regulatory AUM
- $2.9B
- Discretionary
- $467M
- Clients
- 141
- Avg AUM / client
- $20.8M
- Accounts
- 6,352
- Employees
- 9
AUM over time
Annual snapshots from Form ADV filings · as of Mar 11, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 34 | $19.7M | 0.67% |
| High net worth individuals | 81 | $256M | 8.75% |
| Pension and profit sharing plans | 2 | $18.5M | 0.63% |
| Other investment advisers | 24 | $2.6B | 89.9% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Western Growers Retirement Security Plan Western Growers Association | 2024 |
People (7)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Richard Henry Alpert | Limited Partner And Portfolio Manager | CFP | Jul 2010 (16y) | 75% or more |
| Phillippay, Wendy, Jeanne | Chief Compliance Officer | Mar 2021 (5y) | Less than 5% | |
| Zachary Clayton Norman | Registered representative | Jan 2021 (6y) | ||
| Cheryl Lenorre Gross | Registered representative | CFP | Aug 2021 (5y) | |
| Eric Justin Richards | Registered representative | CFA | Aug 2021 (5y) | |
| Patrick Thomas Tinucci | Registered representative | CFA | Apr 2024 (2y) | |
| Gregory Scott Sommer | Registered representative | CFA | Apr 2024 (2y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Raub Alpert Holdings, Llc | General Partner | Jul 2012 | A | 5% – 10% |
Undisclosed: 0% – 20% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Western Growers Retirement Security Plan | Western Growers Association | 1,566 | $145M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/11/2026 | 908 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Charles Schwab & Co. $372M (13% of AUM) Mar 2026
- Pershing $161M (6% of AUM) Nov 2021
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 11, 2026.
View current Form ADV (SEC/IAPD) ↗