Kiva G. Patten

DEER PARK ROAD MANAGEMENT COMPANY, LP

Steamboat Springs, CO 80487

Some features on this profile are disabled

CRD#: 2723082

Professional summary

Kiva Gauguie Patten, CFA, who also goes by Keith Patten, Kiva Gauquie Patten, is a registered financial advisor currently at DEER PARK ROAD MANAGEMENT COMPANY, LP located in Steamboat Springs, Colorado.

Kiva is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Kiva has worked at 5 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Keith Patten | Kiva Gauquie Patten

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.

Co Owner of ActiveRx Rehabilitation (Not investment related) Address: 300 East Hampden Suite 100, Englewood, CO 80113. Focus of business: Physical Therapy for Seniors. Co-Owner/President 12/2011- present Hours: zero during securities trading hours vii.Currently all I do is perform the accounting duties. My wife handles all the rest

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kiva Gauguie Patten'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®

CFA

Chartered Financial Analyst

Experience

Current

January 13, 2017 - Present

DEER PARK ROAD MANAGEMENT COMPANY, LP

Office #1: 1195 Bangtail Way, Steamboat Springs, CO 80487

RIA

CRD#: 140370

Steamboat Springs, CO

Past

November 1, 2010 - July 25, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

January 12, 2009 - November 1, 2010

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

January 2, 2003 - January 15, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

December 7, 1998 - January 1, 1999

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

March 13, 1996 - December 19, 1996

CONTINENTAL BROKER-DEALER CORP.

CRD#: 14048

CARLE PLACE, NY

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".

DEER PARK ROAD MANAGEMENT COMPANY, LP

CRD#: 140370 / SEC#: 801-74577

RIA

Registered Investment Advisory firm - (4/26/2012 Approved)

Colorado

Registered Investment Advisory firm - (9/10/2012 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
(1/13/2017)

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

Series 63

Date: 4/17/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/27/2002

General Securities Representative Examination

Current Firm

DEER PARK ROAD MANAGEMENT COMPANY, LP

CRD#: 140370 / SEC#: 801-74577

RIA

Registered Investment Advisory firm - (4/26/2012 Approved)

Colorado

Registered Investment Advisory firm - (9/10/2012 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1195 Bangtail Way, Steamboat Springs, CO 80487

Mailing Address

Phone number

(970) 457-4340

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2A (DPRMC) 2025.03.31 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	13
AUM (Assets Under Management)	$ 3,686,280,050

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.

Similar Advisors

Albert Gonzalez

LPL FINANCIAL LLC

IAR

Dripping Springs, TX

Chad Lawyer

LIFE STRATEGY PARTNERS

IAR

TUCSON, AZ

Mark Downey

RAYMOND JAMES & ASSOCIATES, INC.

IAR

Rochester, NY

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kiva G. Patten

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kiva Gauguie Patten's CRS (Customer Relationship Summary).

Certified licenses

Experience

DEER PARK ROAD MANAGEMENT COMPANY, LP

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BARCLAYS CAPITAL INC.

CONTINENTAL BROKER-DEALER CORP.

Primary Firm SEC Registration

DEER PARK ROAD MANAGEMENT COMPANY, LP

State Registrations and Notice Filings

Exams

Series 63

Date: 4/17/2003

Series 7

Date: 12/27/2002

Current Firm

DEER PARK ROAD MANAGEMENT COMPANY, LP

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DEER PARK ROAD MANAGEMENT COMPANY, LP

TRUST BUT VERIFY

Similar Advisors