{"url":"https://nivawealth.com/firms/red-mountain-financial-partners-174672","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/174672","regulatoryAum":225585331,"crd":"174672","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5084023","suffix":null,"lastName":"FLYNT","firstName":"CARA","middleName":"ANNE"},{"crd":"3237358","suffix":null,"lastName":"RICK","firstName":"DAVID","middleName":"LEE"},{"crd":"2245028","suffix":null,"lastName":"WARREN","firstName":"MICHAEL","middleName":"ERNEST"}],"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":"2022-02-16","regulatoryAum":128860445,"clients":256,"employees":3,"offices":1},{"filedOn":"2023-03-09","regulatoryAum":121089004,"clients":281,"employees":3,"offices":1},{"filedOn":"2024-03-14","regulatoryAum":169259480,"clients":382,"employees":3,"offices":1},{"filedOn":"2025-02-26","regulatoryAum":196910579,"clients":309,"employees":3,"offices":1},{"filedOn":"2026-03-09","regulatoryAum":225585331,"clients":314,"employees":3,"offices":1}],"secFileNumber":"801-123154","legalName":"Red Mountain Financial Partners, LLC","displayName":"Red Mountain Financial Partners","slug":"red-mountain-financial-partners-174672","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Colorado limited liability company","fiscalYearEnd":"December","headquarters":{"street":"555 Rivergate Lane - Suite B1-107","city":"Durango","state":"CO","stateName":"Colorado","country":"United States","postalCode":"81301"},"tradeNames":[],"registration":{"secApproved":"9 February 2022","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":686108.9738562092,"staff":{"employees":3,"advisory":3,"brokerDealerReps":3,"insuranceAgents":3,"promoters":0},"aum":{"regulatory":225585331,"discretionary":225585331,"discretionaryAccounts":639,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":242,"regulatoryAum":62196440},{"label":"High-net-worth individuals","clients":64,"regulatoryAum":147752906},{"label":"Pension and profit-sharing plans","clients":1,"regulatoryAum":2251898},{"label":"Corporations and other businesses","clients":7,"regulatoryAum":13384087}],"feePrograms":[{"role":"main","program":"Asset Management","feeBasis":"ceiling","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1015983","versionId":1015983,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-09","documentName":"ADV 2A - FIRM DISCLOSURE BROCHURE","fee_rate_low":null,"fee_rate_high":1.5,"fee_negotiable":null,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial Planning","summary":"Financial planning is hourly or fixed fee, typically $100 to $5,000 per plan, based on the scope and complexity of the engagement.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1015983","versionId":1015983,"submittedOn":"2026-03-09","documentName":"ADV 2A - FIRM DISCLOSURE BROCHURE"},{"role":"other","program":"Hourly Consulting","summary":"Consulting is billed hourly at $100 to $250 an hour, or as a fixed fee, based on the scope and complexity of the engagement.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1015983","versionId":1015983,"submittedOn":"2026-03-09","documentName":"ADV 2A - FIRM DISCLOSURE BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T15:06:53.247099+00:00","documents":[{"name":"ADV 2A - FIRM DISCLOSURE BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1015983","versionId":1015983,"submittedOn":"2026-03-09"}]},"custodians":[{"name":"Private Trust Company","shortName":"Private Trust","location":"Fort Mill, SC","smaAssets":225585331}],"custodyNote":"Red Mountain Financial Partners does not have custody of client assets.","leadership":[{"name":"Michael Warren","title":"President","crd":"2245028"},{"name":"Cara Flynt","title":"Chief Compliance Officer","crd":"5084023"}],"ownership":[{"label":"Michael Warren","detail":"President in the 75% or more ownership band and a control person, since January 2015."},{"label":"Cara Flynt","detail":"Chief compliance officer in the 10% to 25% ownership band, since February 2021."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Colorado","offices":1,"addresses":[{"street":"555 Rivergate Lane - Suite B1-107","city":"Durango","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"970-259-1313","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":39},{"label":"U.S. state and local bonds","percent":1},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":57},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"9 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/174672/PDF/174672.pdf","brochureDate":"9 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1015983","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Red Mountain Financial Partners have?","answer":"Red Mountain Financial Partners has 314 clients and manages $226 million for them, as of March 2026. They include 242 individual clients, 64 high-net-worth individuals, and 7 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 9 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Red Mountain Financial Partners offer?","answer":"Red Mountain Financial Partners provides financial planning and portfolio management for individuals and small businesses.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Red Mountain Financial Partners charge?","answer":"Red Mountain Financial Partners charges up to 1.50% a year for its Asset Management. The fee is billed in advance.","source":"ADV 2A - FIRM DISCLOSURE BROCHURE, filed 9 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Red Mountain Financial Partners use?","answer":"Red Mountain Financial Partners’ separately managed account assets are held at Private Trust Company (Fort Mill, SC), with $226M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 9 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Red Mountain Financial Partners have?","answer":"Red Mountain Financial Partners has 3 investment adviser representatives registered with state securities authorities, out of 3 employees, and 3 perform investment advisory functions. 3 employees are registered representatives of a broker-dealer and 3 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 Red Mountain Financial Partners invest in?","answer":"At the end of its last fiscal year, Red Mountain Financial Partners’ separately managed accounts held 57% registered funds (mutual funds, ETFs, BDCs), 39% exchange-traded equities, 2% cash and equivalents, 1% state and local bonds and 1% investment grade corporate bonds.","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 Red Mountain Financial Partners?","answer":"Red Mountain Financial Partners’ direct owners are Michael Warren (75% or more) and Cara Flynt (10% to 25%).","source":"Form ADV Part 1A, Schedules A and B, filed 9 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Red Mountain Financial Partners get paid?","answer":"Red Mountain Financial Partners is paid through a percentage of assets under management, hourly charges 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":"Is Red Mountain Financial Partners registered with the SEC?","answer":"Yes, Red Mountain Financial Partners has been registered with the SEC as an investment adviser since 9 February 2022. Its CRD number is 174672 and its SEC file number is 801-123154.","source":"Form ADV Part 1A, Item 1, filed 9 March 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Red Mountain Financial Partners?","answer":"Red Mountain Financial Partners’ main office is at 555 Rivergate Lane - Suite B1-107, Durango, CO 81301. Its phone number is 970-259-1313.","source":"Form ADV Part 1A, Item 1.F, filed 9 March 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."}