AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
RN

Rae Nathan

TRILOGY CAPITAL
Denver, CO 80206
Some features on this profile are disabled
CRD#: 7966120
RN

Professional summary

Rae Nathan is a registered financial advisor currently at TRILOGY CAPITAL, INC. located in Denver, Colorado.

Rae is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Rae has worked at 1 firm and has passed the Series 65 exam.

top-8-questions

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.
1. INSURANCE AGENT. VARIOUS CARRIERS. LIFE & HEALTH. NOT INVESTMENT RELATED. TIME SPENT = LESS THAN 10%/ MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rae Nathan'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

October 10, 2024 - Present

TRILOGY CAPITAL, INC.

Office #1: 101 University Blvd. Suite 450, Denver, CO 80206
RIA
CRD#: 281597
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".
TC
TRILOGY CAPITAL, INC.
E.F. HEAGEN & ASSOCIATES | TRILOGY INVESTMENT SERVICES, LLC | TRILOGY FINANCIAL SERVICES | TRILOGY CAPITAL, INC.

CRD#: 281597 / SEC#: 801-106922

RIA
Registered Investment Advisory firm - (11/16/2015 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
(10/10/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/9/2024
Uniform Investment Adviser Law Examination

Current Firm

TC
TRILOGY CAPITAL, INC.
E.F. HEAGEN & ASSOCIATES | TRILOGY INVESTMENT SERVICES, LLC | TRILOGY FINANCIAL SERVICES | TRILOGY CAPITAL, INC.

CRD#: 281597 / SEC#: 801-106922

RIA
Registered Investment Advisory firm - (11/16/2015 Approved)
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
2601 Main Street Suite 100, Irvine, CA 92614
Mailing Address
Phone number
(714) 843-9977
Established
Firm type
Fiscal year end
# of Employees
72

SEC notice filing (47 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

PART 2A BROCHURE 2025 (3/24/2025)
WRAP FEE PROGRAM BROCHURE 2025 (3/24/2025)

Regulatory assets under management

Total Number of Accounts8,537
AUM (Assets Under Management)$ 2,633,357,444

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

TRILOGY CAPITAL, INC.

CRD#: 281597Denver, CO 80206

TRUST BUT VERIFY

Monitor Rae Nathan

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Craig Stuart Johlfs
Craig JohlfsAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Greenwood Village, CO
Ralph Milburn Jones JR
Ralph JonesAdvisorCheck Check Mark
OPPENHEIMER & CO. INC.
IAR
RR
Denver, CO
Lorie Chantelle Jones
Lorie JonesAdvisorCheck Check Mark
TANDEM FINANCIAL, LLC
IAR
GREENWOOD VILLAGE, CO
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics