Christopher J. Frey

PRIVATE CAPITAL MANAGEMENT

DENVER, CO 80206

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CRD#: 3142020

Professional summary

Christopher John Frey, who also goes by Chris John Frey, Christopher John Frey, Chris J Frey, Christopher J Frey, is a registered financial advisor currently at PRIVATE CAPITAL MANAGEMENT, LLC located in Denver, Colorado.

Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Christopher has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chris John Frey | Christopher John Frey | Chris J Frey | Christopher J Frey

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.

THINKING ROCK, L.L.C. POSITION: 32% Owner NATURE: Family LLC for ownership of privately owned family cabin, purpose is purely real estate ownership, no revenue, no profit/loss, have never rented it out & have no plans to ever rent it out in the future INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2019 ADDRESS: 920 Smoky Hill Rd, Lincoln NE 68520, United States DESCRIPTION: Family LLC for ownership of privately owned family cabin, purpose is purely real estate ownership, no revenue, no profit/loss, have never rented it out & have no plans to ever rent it out in the future

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher John Frey'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

August 27, 2025 - Present

PRIVATE CAPITAL MANAGEMENT, LLC

Office #1: 200 Fillmore Street Ste 200, Denver, CO 80206

RIA

CRD#: 165306

DENVER, CO

Past

June 9, 2025 - August 12, 2025

CWM, LLC

RIA

CRD#: 155344

Littleton, CO

Past

November 15, 2024 - September 12, 2025

WAMBOLT & ASSOCIATES, LLC

RIA

CRD#: 153454

LITTLETON, CO

Past

September 3, 2019 - October 28, 2024

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

Denver, CO

Past

October 9, 2018 - October 28, 2024

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

DENVER, CO

Past

January 10, 2018 - September 10, 2018

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Lincoln, NE

Past

July 11, 2017 - September 10, 2018

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

LINCOLN, NE

Past

July 15, 2014 - November 5, 2014

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

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".

PRIVATE CAPITAL MANAGEMENT, LLC

GUARANTY BANK AND TRUST COMPANY | PRIVATE CAPITAL MANAGEMENT, LLC

CRD#: 165306 / SEC#: 801-77650

RIA

Registered Investment Advisory firm - (2/28/2013 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

Arizona
(9/22/2025)

IAR

Colorado
(8/27/2025)

IAR

Louisiana
(9/19/2025)

IAR

North Carolina
(9/16/2025)

IAR

Texas
(8/27/2025)

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 66

Date: 8/14/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/26/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/10/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/11/2017

General Securities Representative Examination

Current Firm

PRIVATE CAPITAL MANAGEMENT, LLC

GUARANTY BANK AND TRUST COMPANY | PRIVATE CAPITAL MANAGEMENT, LLC

CRD#: 165306 / SEC#: 801-77650

RIA

Registered Investment Advisory firm - (2/28/2013 Approved)

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Contact information

Main Address

200 Fillmore Street Ste 200, Denver, CO 80206

Mailing Address

Phone number

(303) 370-0055

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (21 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV BROCHURE 2025- OTHER THAN ANNUAL (6/24/2025)

Regulatory assets under management

Total Number of Accounts	2,951
AUM (Assets Under Management)	$ 1,537,495,942

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/29/2025	Cover Page	Report
12/26/2024	Cover Page	Report
01/29/2024	Cover Page	Report
06/22/2023	Cover Page	Report
10/20/2022	Cover Page	Report

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

Christopher J. Frey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher John Frey's CRS (Customer Relationship Summary).

Certified licenses

Experience

CWM, LLC

WAMBOLT & ASSOCIATES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

TD AMERITRADE, INC.

Primary Firm SEC Registration

PRIVATE CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/14/2017

Series 63

Date: 8/26/2014

SIE

Date: 9/10/2018

Series 7

Date: 7/11/2017

Current Firm

PRIVATE CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (21 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PRIVATE CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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