Ronald D. New

WHIPPLEWOOD ADVISORS

LITTLETON, CO 80127

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CRD#: 1692877

Professional summary

Ronald David New JR, who also goes by Ron New Jr, Ronald David Jr New, is a registered financial advisor currently at WHIPPLEWOOD ADVISORS, LLC located in Littleton, Colorado.

Ronald is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Ronald has worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ron New Jr | Ronald David Jr New

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.

1) Risk Management Association- Rocky Mountain Chapter. Board of Directors and Committee Chair. No check writing authority. Less than 4 hours per month during non-trading hours. Uncompensated. Appointed November 2017. 2) Investment Advisory Committee member for City and County of Denver, 201 W. Colfax Avenue, Dept 1010 Denver, CO 80202. Less than 4 hours per month during non-trading hours. Uncompensated investment related advisory board to the City and County. Appointed February 2018. 3) University of Colorado, Business Economic Outlook Forum and Financial Activities Committee. Committee Chair. Less than 12 hours per month during trading hours. Uncompensated. Appointed September 2006. 4) Capital Peak, LLC. Managing Member. Acquisition vehicle for the purchase of small businesses. E-commerce focused. No hours per month. Entity is dormant.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald David New JR'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

July 26, 2022 - Present

WHIPPLEWOOD ADVISORS, LLC

Office #1: 11852 Shaffer Drive Building B, Littleton, CO 80127

RIA

CRD#: 282860

LITTLETON, CO

Past

May 17, 2019 - November 26, 2019

MORETON ASSET MANAGEMENT, LLC

RIA

CRD#: 133417

Denver, CO

Past

March 21, 2017 - December 31, 2018

MORETON ASSET MANAGEMENT, LLC

RIA

CRD#: 133417

Denver, CO

Past

March 3, 2017 - November 27, 2019

MORETON CAPITAL MARKETS, LLC

CRD#: 132643

Denver, CO

Past

February 10, 2014 - July 31, 2015

GHP INVESTMENT ADVISORS INC

RIA

CRD#: 107563

DENVER, CO

Past

January 12, 2000 - April 18, 2013

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

DENVER, CO

Past

February 23, 1998 - April 13, 2000

HANIFEN, IMHOFF INC.

CRD#: 44469

DENVER, CO

Past

July 18, 1994 - February 23, 1998

HANIFEN, IMHOFF INC.

CRD#: 2126

DENVER, CO

Past

September 2, 1992 - July 22, 1994

LUMIERE SECURITIES, INC.

CRD#: 13414

DENVER, CO

Past

October 30, 1991 - August 31, 1992

LP CHARLES & COMPANY, INC.

CRD#: 27020

Past

April 10, 1991 - October 31, 1991

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

August 1, 1989 - October 4, 1989

J. W. GANT & ASSOCIATES, INC.

CRD#: 7963

Past

April 21, 1989 - August 10, 1989

VANDERBILT SECURITIES, INC.

CRD#: 14280

Past

August 20, 1987 - November 17, 1987

BLINDER, ROBINSON & CO., INC.

CRD#: 5096

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".

WHIPPLEWOOD ADVISORS, LLC

CRD#: 282860 / SEC#: 801-119590

RIA

Registered Investment Advisory firm - (10/2/2020 Approved)

Colorado

Registered Investment Advisory firm - (10/19/2020 Terminated)

Texas

Registered Investment Advisory firm - (10/5/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(7/26/2022)

IAR

Texas
(7/26/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/26/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/10/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/15/1987

General Securities Representative Examination

Current Firm

WHIPPLEWOOD ADVISORS, LLC

CRD#: 282860 / SEC#: 801-119590

RIA

Registered Investment Advisory firm - (10/2/2020 Approved)

Colorado

Registered Investment Advisory firm - (10/19/2020 Terminated)

Texas

Registered Investment Advisory firm - (10/5/2020 Terminated)

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Contact information

Main Address

11852 Shaffer Drive Building B, Littleton, CO 80127

Mailing Address

Phone number

(303) 989-7600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (3/21/2025)

Regulatory assets under management

Total Number of Accounts	371
AUM (Assets Under Management)	$ 288,037,168

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.

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Advisor Monitoring

Firm Stability Insights

Ronald D. New

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald David New JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORETON ASSET MANAGEMENT, LLC

MORETON ASSET MANAGEMENT, LLC

MORETON CAPITAL MARKETS, LLC

GHP INVESTMENT ADVISORS INC

STIFEL, NICOLAUS & COMPANY, INCORPORATED

HANIFEN, IMHOFF INC.

HANIFEN, IMHOFF INC.

LUMIERE SECURITIES, INC.

LP CHARLES & COMPANY, INC.

OSAIC WEALTH, INC.

J. W. GANT & ASSOCIATES, INC.

VANDERBILT SECURITIES, INC.

BLINDER, ROBINSON & CO., INC.

Primary Firm SEC Registration

WHIPPLEWOOD ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/26/2022

Series 63

Date: 7/10/1987

SIE

Date: 10/1/2018

Series 7

Date: 8/15/1987

Current Firm

WHIPPLEWOOD ADVISORS, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WHIPPLEWOOD ADVISORS, LLC

TRUST BUT VERIFY

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