A & I Financial Services, LLC (Englewood)

Name: A & I Financial Services, LLC
Address: 9800 Mt. Pyramid Court, Englewood, CO, 80112
Telephone: 303-690-5070

A & I Financial Services, LLC is a large advisory firm based in Englewood. It manages $237.39 million of regulatory assets for 1,593 client accounts. It has been registered with the SEC as an adviser since 2008 and has operated in the jurisdictions of Arizona, California, Colorado, and 3 other states.

A & I Financial Services provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and selection of other advisers. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

A & I Financial Services: assets under management

The assets under management (AUM) of A & I Financial Services, LLC is $237.39 million. The firm's AUM has grown by 572% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $199.45 million in discretionary accounts and $37.94 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $186.4 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $72.55 thousand.

Investments

The firm invests in investment and business development companies the most. They account for 47% of the total AUM. The second-largest asset type is exchange traded securities, which make up 40% of the firm’s portfolio. Investments in other assets form 10% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay A & I Financial Services, LLC for their services and products based on a percentage of assets under management and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Merwyn Arthur Rewinkel serves?

The firm provides services to individuals, high net worth individuals, and corporations or other businesses. The largest group of clients of Merwyn Arthur Rewinkel is individuals with 435 clients and $142.1 million of assets under management. Among the 11 most similar advisory firms, A & I Financial Services has the 2nd highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $237.14 million for 483 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

A & I Financial Services doesn't advise any private funds.

Careers at A & I Financial Services, LLC

The company employs 8 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 8 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Merwyn Arthur Rewinkel has been acting as President since 1 Aug 2004. Llc A & I Holdings joined the executive team most recently as the Member.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Karl Fredrick Frank	Managing member	1 Aug 2004	50% - 75%	4769985
Stacey Katrina Frank	Chief compliance officer and member	1 Aug 2004	50% - 75%	5055901
Merwyn Arthur Rewinkel	President	1 Aug 2004	25% - 50%	1277258
Inge Catharine Rewinkel	Vice-president	1 Aug 2004	25% - 50%	1456240
Llc A & I Holdings	Member	1 Jan 2018	75% - 100%	82-5354207

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Karl Fredrick Frank	Member	1 Jan 2018	50% - 75%	4769985
Stacey Katrina Frank	Member	1 Jan 2018	50% - 75%	5055901

Based in Englewood

The principal office where A & I Financial Services, LLC performs its advisory services is located at 9800 Mt. Pyramid Court, Englewood, CO 80112, which is also the mailing address of the firm. An additional office of the firm is in Littleton, CO. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 303-690-5070 or by fax 303-699-8945. The normal business hours are 8:30am to 5:00pm on Monday - Friday. You can find more information about the New York firm at assetsandincome.com/.