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Palm Advisors, LLC (Littleton)


Palm Advisors, LLC is a large advisory firm based in Littleton. It manages $52.2 million of regulatory assets for 3 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdictions of Colorado and Georgia.

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Palm Advisors provides portfolio management for individuals and small businesses and portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Palm Advisors: assets under management

The assets under management (AUM) of Palm Advisors, LLC is $52.2 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 21% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $52.2 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $17.4 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Palm Advisors, LLC for their services and products based on a percentage of assets under management and performance-based 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.

Indirect Owners

The SEC currently registers 9 indirect owners.

Name Entity Date acquired Ownership Employer ID
Patrick Francis Hart Managing director 1 Sep 2003 25% - 50% 1749863
Carl Gregory Derozario Managing director 1 Sep 2003 25% - 50% 1224224
Michael Brewer Egan Managing director 1 Sep 2003 Other 2134033
Lawrence Alan Aubrecht Managing director 1 Sep 2003 Other 1122565
Robert Hugh Armstrong Cfo 1 Sep 2003 Other 4707558
Steven J Lerohl Chief technology officer 1 Sep 2003 Other 4707566
Carl Gregory Derozario Member 1 Jul 2011 50% - 75% 1224224
Lawrence Alan Aubrecht Member 1 Jul 2011 Other 1122565
Charles Clarence Hibben Member 1 Jul 2011 Other 1616768

Based in Littleton

The principal office where Palm Advisors, LLC performs its advisory services is located at 2506 West Main St., Littleton, CO 80120, which is also the mailing address of the firm. An additional office of the firm is in Atlanta, GA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 3039623500 or by fax 3039620307. The normal business hours are 8 am - 5 pm on Monday - Friday. You can find more information about the New York firm at www.threepalms.net.


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