{"url":"https://nivawealth.com/firms/a-and-i-financial-services-148357","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/148357","regulatoryAum":559998114,"crd":"148357","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7628458","suffix":null,"lastName":"BUTLER","firstName":"CASSIDY","middleName":"J"},{"crd":"4366653","suffix":null,"lastName":"CASS","firstName":"JUDSON","middleName":"E"},{"crd":"4769985","suffix":null,"lastName":"FRANK","firstName":"KARL","middleName":"FREDRICK"},{"crd":"5055901","suffix":null,"lastName":"FRANK","firstName":"STACEY","middleName":"KATRINA"},{"crd":"6382162","suffix":null,"lastName":"GIGUERE","firstName":"FRANCOIS","middleName":null},{"crd":"5132921","suffix":null,"lastName":"HARMON","firstName":"CHAD","middleName":"MICHAEL"},{"crd":"2602766","suffix":null,"lastName":"LENGSFELD","firstName":"PETER","middleName":"FREDERIC"},{"crd":"8313754","suffix":null,"lastName":"Marquez","firstName":"Quinn","middleName":"Bradley"},{"crd":"4663035","suffix":null,"lastName":"MASON","firstName":"MARLA","middleName":"ANNE"},{"crd":"4442645","suffix":null,"lastName":"MORGAN","firstName":"JULIE","middleName":"CAMERON"},{"crd":"1444819","suffix":null,"lastName":"STEVENS","firstName":"DAVID","middleName":"LEE"}],"total":11,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-07-01","regulatoryAum":421897882,"clients":581,"employees":10,"offices":1},{"filedOn":"2022-07-20","regulatoryAum":455902748,"clients":537,"employees":10,"offices":1},{"filedOn":"2023-07-11","regulatoryAum":367538360,"clients":543,"employees":10,"offices":1},{"filedOn":"2024-03-09","regulatoryAum":412095862,"clients":540,"employees":13,"offices":1},{"filedOn":"2025-02-22","regulatoryAum":463877312,"clients":577,"employees":9,"offices":1},{"filedOn":"2026-04-08","regulatoryAum":559998114,"clients":518,"employees":9,"offices":1}],"secFileNumber":"801-69819","legalName":"A & I Financial Services, LLC","displayName":"A & I Financial Services","slug":"a-and-i-financial-services-148357","website":"https://assetsandincome.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/a&i-financial-services/","founded":"2009","organization":"Colorado limited liability company","fiscalYearEnd":"December","headquarters":{"street":"9605 Kingston Court, Suite 190","city":"Lone Tree","state":"CO","stateName":"Colorado","country":"United States","postalCode":"80112"},"tradeNames":[],"registration":{"secApproved":"5 January 2009","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1073713.2200772201,"staff":{"employees":9,"advisory":9,"brokerDealerReps":9,"insuranceAgents":8,"promoters":0},"aum":{"regulatory":559998114,"discretionary":506347455,"discretionaryAccounts":1442,"nonDiscretionary":53650659,"nonDiscretionaryAccounts":241,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":2},"clientTypes":[{"label":"Individuals (other than HNW)","clients":353,"regulatoryAum":160334427},{"label":"High-net-worth individuals","clients":165,"regulatoryAum":395849021},{"label":"Pension and profit-sharing plans","clients":null,"fewerThan5":true,"regulatoryAum":2591649},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":1223017}],"feePrograms":[{"role":"main","program":"Asset Management Services","feeBasis":"whole_balance","fee_tiers":[{"to":100000,"pct":1.5,"from":0},{"to":250000,"pct":1.25,"from":100000},{"to":2000000,"pct":1,"from":250000},{"to":5000000,"pct":0.9,"from":2000000},{"to":10000000,"pct":0.8,"from":5000000},{"to":15000000,"pct":0.65,"from":10000000},{"to":20000000,"pct":0.5,"from":15000000},{"to":25000000,"pct":0.4,"from":20000000},{"to":30000000,"pct":0.35,"from":25000000},{"to":null,"pct":0.3,"from":30000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1061417","versionId":1061417,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-10-16","documentName":"PART 2A","fee_rate_low":0.3,"fee_rate_high":1.5,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial planning","summary":"Financial planning fees generally range from $500 to $25,000, negotiable, with a retainer of 50% of the quoted fee due at signing.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1061417","versionId":1061417,"submittedOn":"2026-10-16","documentName":"PART 2A"},{"role":"other","program":"Limited and ongoing consultations","summary":"Limited consulting generally ranges from $500 to $25,000; 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The fee is billed in arrears and is negotiable.","source":"PART 2A, filed 16 October 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does A & I Financial Services use?","answer":"A & I Financial Services’ separately managed account assets are held at Axos Clearing LLC (Centennial, CO), with $492M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 8 April 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does A & I Financial Services have?","answer":"A & I Financial Services has 9 investment adviser representatives registered with state securities authorities, out of 9 employees, and 9 perform investment advisory functions. 9 employees are registered representatives of a broker-dealer and 8 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does A & I Financial Services invest in?","answer":"At the end of its last fiscal year, A & I Financial Services’ separately managed accounts held 57% registered funds (mutual funds, ETFs, BDCs), 37% exchange-traded equities, 3% cash and equivalents and 3% other. The 3% other category is described as: Variable Annuities and Variable Universal Life.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns A & I Financial Services?","answer":"A & I Financial Services is owned through a holding company by Karl and Stacey Frank. Its direct owners are A & I Holdings, LLC (75% or more) and A & (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 8 April 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does A & I Financial Services get paid?","answer":"A & I Financial Services is paid through a percentage of assets under management and fixed fees. 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Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}