Mark A. Schumacher

THIRD DAY CAPITAL MANAGEMENT

Denver, CO 80237

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CRD#: 2723008

Professional summary

Mark Anthony Schumacher is a registered financial advisor currently at THIRD DAY CAPITAL MANAGEMENT, LLC located in Denver, Colorado.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Mark has worked at 8 firms and has passed the Series 87, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Third Day Capital is a Registered Investment Adviser wholly owned by me, Mark Anthony Schumacher. It provides financial planning and discretionary investment management services. I intend to terminate the firm at the end of calendar 2021, after transitioning Third Day's clients to Howland Capital Management LLC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Anthony Schumacher's 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

October 17, 2008 - Present

THIRD DAY CAPITAL MANAGEMENT, LLC

Office #1: 4600 South Syracuse Street 9th Floor, Denver, CO 80237

RIA

CRD#: 148121

Denver, CO

Past

September 11, 2021 - January 5, 2022

HOWLAND CAPITAL MANAGEMENT LLC

RIA

CRD#: 104726

BOSTON, MA

Past

May 9, 2016 - May 3, 2021

MADDOCK FINANCIAL, LLC

RIA

CRD#: 107122

GREENWOOD VILLAGE, CO

Past

August 8, 2008 - December 31, 2011

THIRD DAY CAPITAL MANAGEMENT, LLC

RIA

CRD#: 148121

LITTLETON, CO

Past

November 28, 2007 - April 16, 2008

TOUCHPOINT SECURITIES CORP.

CRD#: 137224

WESTMINSTER, CO

Past

September 6, 2007 - October 18, 2007

WM SMITH & CO.

CRD#: 30777

GREENWOOD VILLAGE, CO

Past

April 2, 2004 - November 26, 2007

HOWLAND CAPITAL MANAGEMENT LLC

RIA

CRD#: 104726

BOSTON, MA

Past

October 1, 1998 - August 16, 2000

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

September 18, 1996 - September 9, 1998

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

March 20, 1996 - September 23, 1996

CETERA ADVISORS LLC

CRD#: 10299

GREENWOOD VILLAGE, CO

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
(10/17/2008)

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

General Industry/Product Exam

Series 87

Date: 9/13/2007

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 9/5/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/29/2008

General Securities Principal Examination

Current Firm

THIRD DAY CAPITAL MANAGEMENT, LLC

ROXBOROUGH CAPITAL MANAGEMENT | THIRD DAY CAPITAL MANAGEMENT, LLC | ROXBOROUGH CAPITAL MANAGEMENT, LLC

CRD#: 148121 / SEC#:

Colorado

Registered Investment Advisory firm - (10/17/2008 Approved)

Massachusetts

Registered Investment Advisory firm - (12/8/2009 Terminated)

Oregon

Registered Investment Advisory firm - (12/7/2009 Terminated)

Washington

Registered Investment Advisory firm - (11/17/2008 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).

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Contact information

Main Address

4600 South Syracuse Street 9th Floor, Denver, CO 80237

Mailing Address

Phone number

(303) 979-9259

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	50
AUM (Assets Under Management)	$ 27,143,967

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

Mark A. Schumacher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Anthony Schumacher's CRS (Customer Relationship Summary).

Certified licenses

Experience

HOWLAND CAPITAL MANAGEMENT LLC

MADDOCK FINANCIAL, LLC

THIRD DAY CAPITAL MANAGEMENT, LLC

TOUCHPOINT SECURITIES CORP.

WM SMITH & CO.

HOWLAND CAPITAL MANAGEMENT LLC

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

CETERA ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 87

Date: 9/13/2007

Series 7

Date: 9/5/2007

Series 24

Date: 1/29/2008

Current Firm

THIRD DAY CAPITAL MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

THIRD DAY CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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