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RJ

Ralph D. Janitell

UMB ASSET MANAGEMENT
Denver, CO 80202-5602
Some features on this profile are disabled
CRD#: 1292715
RJ

Professional summary

Ralph David Janitell III, who also goes by Ralph David Janitell, Ralph Janitell, is a registered financial advisor currently at UMB ASSET MANAGEMENT, LLC located in Denver, Colorado.

Ralph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Ralph has worked at 19 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Ralph David Janitell | Ralph Janitell

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ralph David Janitell III's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

May 13, 2026 - Present

UMB ASSET MANAGEMENT, LLC

Office #1: 1670 Broadway Suite 2200, Denver Hub, Denver, CO 80202-5602
RIA
CRD#: 306374
Denver, CO
Past

January 4, 2021 - August 5, 2022

KESTRA ADVISORY SERVICES, LLC

RIA
CRD#: 283330
Denver, CO
Past

January 4, 2021 - August 5, 2022

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
DENVER, CO
Past

May 3, 2017 - February 3, 2021

VALIC FINANCIAL ADVISORS, INC.

RIA
CRD#: 42803
LAKEWOOD, CO
Past

May 3, 2017 - February 3, 2021

VALIC FINANCIAL ADVISORS, INC.

BD
CRD#: 42803
LAKEWOOD, CO
Past

September 30, 2014 - May 2, 2017

WADDELL & REED

RIA
CRD#: 866
DENVER, CO
Past

September 29, 2014 - May 2, 2017

WADDELL & REED

BD
CRD#: 866
DENVER, CO
Past

January 16, 2014 - August 12, 2014

REGULUS FINANCIAL GROUP, LLC

BD
CRD#: 150631
Greenwood Village, CO
Past

January 9, 2014 - September 2, 2014

1ST CONSUMER ADVISORY GROUP LLC

RIA
CRD#: 169633
GREENWOOD VILLAGE, CO
Past

January 31, 2013 - January 13, 2014

WADDELL & REED

RIA
CRD#: 866
DENVER, CO
Past

January 31, 2013 - January 13, 2014

WADDELL & REED

BD
CRD#: 866
DENVER, CO
Past

July 24, 2012 - January 29, 2013

LPL FINANCIAL LLC

RIA
CRD#: 6413
BROOMFIELD, CO
Past

July 24, 2012 - January 29, 2013

LPL FINANCIAL LLC

BD
CRD#: 6413
BROOMFIELD, CO
Past

February 26, 2007 - July 12, 2012

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA
CRD#: 20472
DENVER, CO
Past

January 8, 2007 - July 12, 2012

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
DENVER, CO
Past

August 30, 2005 - November 21, 2006

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
GREENWOOD VILLAGE, CO
Past

February 2, 2005 - August 19, 2005

CAROLINA CAPITAL MARKETS, INC.

BD
CRD#: 38156
CHAPEL HILL, NC
Past

June 6, 2000 - December 1, 2004

ADVEST, INC.

BD
CRD#: 10
HARTFORD, CT
Past

January 12, 2000 - June 2, 2000

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
ST. LOUIS, MO
Past

February 23, 1998 - April 13, 2000

HANIFEN, IMHOFF INC.

BD
CRD#: 44469
DENVER, CO
Past

July 18, 1994 - February 23, 1998

HANIFEN, IMHOFF INC.

BD
CRD#: 2126
DENVER, CO
Past

July 14, 1992 - July 22, 1994

LUMIERE SECURITIES, INC.

BD
CRD#: 13414
DENVER, CO
Past

May 15, 1992 - August 1, 1996

LP CHARLES & COMPANY, INC.

BD
CRD#: 27020
Past

January 25, 1990 - December 8, 1990

DAIN RAUSCHER INCORPORATED

BD
CRD#: 7600
Past

December 21, 1984 - January 22, 1990

COUGHLIN & COMPANY, INC.

BD
CRD#: 185
DENVER, CO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
UA
UMB ASSET MANAGEMENT, LLC
UMB ASSET MANAGEMENT, LLC | UMB FAMILY WEALTH, LLC

CRD#: 306374 / SEC#: 801-117738

RIA
Registered Investment Advisory firm - (12/5/2019 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Colorado
(5/13/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/29/2026
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/15/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/15/1984
General Securities Representative Examination

Current Firm

UA
UMB ASSET MANAGEMENT, LLC
UMB ASSET MANAGEMENT, LLC | UMB FAMILY WEALTH, LLC

CRD#: 306374 / SEC#: 801-117738

RIA
Registered Investment Advisory firm - (12/5/2019 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1010 Grand 3rd Floor, Kansas City, MO 64106
Mailing Address
Phone number
(816) 860-7000
Established
Firm type
Fiscal year end
# of Employees
7

SEC notice filing (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

UMB ASSET MANAGEMENT LLC - PART 2A (6/30/2025)

Regulatory assets under management

Total Number of Accounts4
AUM (Assets Under Management)$ 47,495,486

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

UMB ASSET MANAGEMENT, LLC

CRD#: 306374Denver, CO 80202-5602

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