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RAUB BROCK CAPITAL MANAGEMENT, LP
CRD 153994File 801-71732
APPROVED
Retail clients
Custody
Filing as of Sep 1, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$2.93B
Top 25% of cohort (national)
Discretionary AUM
$467.0M
Non-discretionary $2.46B
Clients
141
6,352 accounts
Employees
9
Top 25% of cohort in CA
Identity & registration
ADV Item 1- Organization form
- Limited Partnership
- Firm type
- Registered
- SEC region
- SFRO
- Registration date
- Aug 6, 2010
- Principal office
- 700 LARKSPUR LANDING CIRCLE, SUITE 240, LARKSPUR, CA, 94939
- Phone
- 415-927-6990
- Website
- HTTP://WWW.RAUBBROCK.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $2.93B
- Discretionary AUM
- $467.0M
- Non-discretionary AUM
- $2.46B
- Discretionary accounts
- 578
- Non-discretionary accounts
- 5,774
- Total accounts
- 6,352
- AUM per client
- $20.8M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other investment advisers | 24 | $2.63B |
| High net worth individuals | 81 | $256.2M |
| Pension and profit sharing plans | 2 | $18.5M |
| Individuals (other than high net worth individuals) | 34 | $19.7M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 148 | 141 | decreased by7 |
| Apr 1, 2026 | AUM | $3,224,358,789 | $2,928,521,119 | decreased by$295,837,670 |
| Apr 1, 2026 | Accounts | 7,179 | 6,352 | decreased by827 |
| Dec 1, 2025 vs May 1, 2025 | Custody | No | Yes | |
| May 1, 2025 vs Oct 1, 2022 | Employees | 8 | 9 | increased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 6,469 | 148 | decreased by6,321 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $3,411,892,771 | $3,224,358,789 | decreased by$187,533,982 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 6,469 | 7,179 | increased by710 |
| Mar 1, 2022 | Clients | 6,053 | 6,469 | increased by416 |
| Mar 1, 2022 | AUM | $2,627,693,456 | $3,411,892,771 | increased by$784,199,315 |
| Mar 1, 2022 | Accounts | 6,053 | 6,469 | increased by416 |
| Aug 1, 2021 | Clients | 6,054 | 6,053 | decreased by1 |
| Aug 1, 2021 | AUM | $2,628,183,996 | $2,627,693,456 | decreased by$490,540 |
| Aug 1, 2021 | Accounts | 6,054 | 6,053 | decreased by1 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “RAUB BROCK” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“RAUB BROCK” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.