Douglas M. Middleton & Company (Castle Rock)

Douglas M. Middleton & Company is an adviser based in Castle Rock. It manages $13.65 million of regulatory assets for 20 client accounts. It has been registered with the SEC as an adviser since 2004.

Douglas M. Middleton & Company provides portfolio management for individuals and small businesses and portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Douglas M. Middleton & Company: assets under management

The assets under management (AUM) of Douglas M. Middleton & Company is $13.65 million. The firm's AUM has gone down by -63% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $13.56 million in discretionary accounts and $86.03 thousand in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $713.89 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $86.03 thousand.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Douglas M. Middleton & Company for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Douglas M. Middleton & Company

Andrea Middleton Piper has been acting as President since 1 Jul 1975. Douglas Mckinlay Middleton joined the executive team most recently as the Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Douglas Mckinlay Middleton	President	1 Apr 1971	25% - 50%	4458756
Andrea Middleton Piper	Director	1 Jul 1975	Other	713911
Douglas Mckinlay Middleton	Director	1 Jul 1975	Other	4458785
Andrew Brooks Middleton	Vice president, treasurer, chief compliance officer	1 Jul 1975	Other	2446571

Based in Castle Rock

The principal office where Douglas M. Middleton & Company performs its advisory services is located at 2128 Fire Opal Ct., Castle Rock, CO 80108 3009, which is also the mailing address of the firm. An additional office of the firm is in Durango, CO. It doesn’t run an office outside of the United States.