Raub Brock Capital Management combines extensive professional experience and expertise with a commitment to transparency, safety, and oversight. We are a registered investment advisor (RIA) regulated by the SEC, whose mission is to protect investors and maintain the integrity of the securities market.

As a registered investment adviser, Raub Brock and its staff are subject to principles of fiduciary duty, which are enforceable under both the Investment Advisers Act of 1940, and state law. These principles dictate that Raub Brock conduct its business in a manner that places the interests of clients ahead of our own.

All of the assets we manage are held in a separate custodial account and further protected through regular audits, reviews, and regulatory examinations.

Custodian, Trade Execution & Clearing:
Charles Schwab & Co.

Through our affiliation with Charles Schwab & Co., a financial services leader, Raub Brock clients are aligned with an acknowledged industry leader in brokerage custody, trade execution and clearance services.

Charles Schwab is committed to staying financially strong and takes many measures to protect client assets. Client securities such as stocks and bonds that are fully paid for, are fully segregated from broker-dealer securities, in compliance with the SEC’s customer protection rule. This is a legal requirement for all broker-dealers.

Assets held in custody by Charles Schwab are protected by the Securities Investor Protection Corporation (SIPC®) for up to $500,000 in value, including $100,000 in cash awaiting reinvestment. In addition, Schwab provides coverage in excess of SIPC limits through Lloyd’s of London. This "excess SIPC" protection of securities and cash is provided up to an aggregate of $600 million, limited to a combined return to any customer from a trustee, SIPC, Lloyds, and other London insurers of $150 million, including up to $1 million in cash.

Global Investment Performance Standards (GIPS) Verification:
Ashland Partners & Company, LLP

Compliance Representation:
Best Practices Consulting Group

Legal Representation:
Shartsis Friese, LLP

Performance Reporting:
Riordan Consulting, LLC.
Tamarac, Inc.

Our Fees

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Interested In Working With RBCM?

To see if our approach is right for you, please review our Disciplined Wealth Process. The Disciplined Wealth Process is a continuous and dynamic approach to financial management that will help you protect and grow your wealth, achieve your goals, and attain peace of mind.

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