{"url":"https://nivawealth.com/firms/kozak-and-tripp-private-asset-management-298353","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/298353","regulatoryAum":813359043,"crd":"298353","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"8139327","suffix":null,"lastName":"Crockett","firstName":"Connor","middleName":"David"},{"crd":"5530806","suffix":null,"lastName":"KOZAK","firstName":"CHRISTOPHER","middleName":null},{"crd":"5700505","suffix":null,"lastName":"TRIPP","firstName":"TREVOR","middleName":"NOLEN"}],"total":3,"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":"2021-03-04","regulatoryAum":434066747,"clients":585,"employees":5,"offices":1},{"filedOn":"2022-06-07","regulatoryAum":488176579,"clients":586,"employees":9,"offices":1},{"filedOn":"2023-01-23","regulatoryAum":457469494,"clients":695,"employees":10,"offices":1},{"filedOn":"2024-03-01","regulatoryAum":628432583,"clients":753,"employees":10,"offices":1},{"filedOn":"2025-02-19","regulatoryAum":706484491,"clients":748,"employees":10,"offices":1},{"filedOn":"2026-04-15","regulatoryAum":813359043,"clients":791,"employees":10,"offices":1}],"secFileNumber":"801-113934","legalName":"Kozak & Tripp Private Asset Management, Inc.","displayName":"Kozak & Tripp Private Asset Management","slug":"kozak-and-tripp-private-asset-management-298353","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/kozak-&-associates/","xUrl":"https://twitter.com/kozakinvest","founded":null,"organization":"Colorado corporation","fiscalYearEnd":"December","headquarters":{"street":"1805 Shea Center Drive, Suite 220","city":"Highlands Ranch","state":"CO","stateName":"Colorado","country":"United States","postalCode":"80129"},"tradeNames":["Kozak Tripp"],"registration":{"secApproved":"6 September 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Management","feeBasis":"ceiling","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1012565","versionId":1012565,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-02-26","documentName":"PART 2A BROCHURE","fee_rate_low":null,"fee_rate_high":1.5,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Consulting Services","summary":"Limited-scope consulting fees range from $1,000 to $20,000 and are billed as services are rendered.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1012565","versionId":1012565,"submittedOn":"2026-02-26","documentName":"PART 2A BROCHURE"},{"role":"other","program":"Employer Sponsored Retirement Plan Services","summary":"Retirement plan advisory services are an annual fee: asset-based fees range from 0.10% to 0.50%, or fixed fees range from $1,000 to $50,000 annually.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1012565","versionId":1012565,"submittedOn":"2026-02-26","documentName":"PART 2A BROCHURE"},{"role":"other","program":"Financial Planning Fees","summary":"Separate financial planning fees are negotiated in advance and are fixed fees ranging from $1,000 to $10,000 per plan.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1012565","versionId":1012565,"submittedOn":"2026-02-26","documentName":"PART 2A BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T07:33:46.479753+00:00","documents":[{"name":"PART 2A BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1012565","versionId":1012565,"submittedOn":"2026-02-26"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":813359043}],"custodyNote":"Kozak & Tripp Private Asset Management has custody of $116K in client assets for 2 clients.","otherCustodians":[],"leadership":[{"name":"Christopher Kozak","title":"Owner, CCO","crd":"5530806"},{"name":"Trevor Tripp","title":"Owner","crd":"5700505"}],"ownership":[{"label":"Christopher Kozak","detail":"Owner, cco in the 50% to 75% ownership band and a control person, since July 2018."},{"label":"Trevor Tripp","detail":"Owner in the 25% to 50% ownership band and a control person, since July 2018."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Colorado","offices":1,"addresses":[{"street":"1805 Shea Center Drive, Suite 220","city":"Highlands Ranch","headquarters":true}]}],"brochureServices":["business succession planning","education planning","estate planning","insurance","philanthropic planning","retirement plan services","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"303-847-4045","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Other"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":57},{"label":"U.S. government/agency bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":40},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":0},"sources":{"adv1FilingDate":"15 April 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/298353/PDF/298353.pdf","brochureDate":"26 February 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They include 622 individual clients, 153 high-net-worth individuals, and 13 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 15 April 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Kozak & Tripp Private Asset Management offer?","answer":"Kozak & Tripp Private Asset Management provides financial planning, portfolio management for individuals and small businesses, business succession planning, education planning, estate planning, insurance, philanthropic planning, retirement plan services, and tax planning.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Kozak & Tripp Private Asset Management charge?","answer":"Kozak & Tripp Private Asset Management charges up to 1.50% a year for its Investment Management. The fee is billed in advance and is negotiable.","source":"PART 2A BROCHURE, filed 26 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Kozak & Tripp Private Asset Management use?","answer":"Kozak & Tripp Private Asset Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $813M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 15 April 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Kozak & Tripp Private Asset Management have?","answer":"Kozak & Tripp Private Asset Management has 2 investment adviser representatives registered with state securities authorities, out of 10 employees, and 2 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.","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 Kozak & Tripp Private Asset Management invest in?","answer":"At the end of its last fiscal year, Kozak & Tripp Private Asset Management’s separately managed accounts held 57% exchange-traded equities, 40% registered funds (mutual funds, ETFs, BDCs), 1% U.S. government and agency bonds and 1% cash and equivalents.","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 Kozak & Tripp Private Asset Management?","answer":"Kozak & Tripp Private Asset Management’s direct owners are Christopher Kozak (50% to 75%) and Trevor Tripp (25% to 50%).","source":"Form ADV Part 1A, Schedules A and B, filed 15 April 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Kozak & Tripp Private Asset Management get paid?","answer":"Kozak & Tripp Private Asset Management is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Kozak & Tripp Private Asset Management?","answer":"Kozak & Tripp Private Asset Management’s main office is at 1805 Shea Center Drive, Suite 220, Highlands Ranch, CO 80129. Its phone number is 303-847-4045.","source":"Form ADV Part 1A, Item 1.F, filed 15 April 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. 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."}