Raves & Associates Private Wealth — Denver, CO
Marketing BrandRaves & Associates, Pllc. 1 year, 5 ... Client information is for Kestra Private Wealth Services LLC and are based on percentage of assets under management. Operating under INVESTMENT RESEARCH CORP (CRD #108208).
Why This Matters
A marketing brand is the name a financial advisor uses with clients. It is often different from the SEC-registered firm that is legally responsible for their conduct and your money.
When you search for “Raves & Associates Private Wealth,” you won't find it on the SEC or FINRA websites. That's because the regulatory entity is INVESTMENT RESEARCH CORP. Any disclosures, complaints, or regulatory actions are filed under the firm — not the brand.
Source: SEC Form ADV filings and FINRA BrokerCheck
The Relationship
INVESTMENT RESEARCH CORP
CRD 108208 · IA
Brand Information
Inherited Transparency Score
Marketing brands inherit the transparency score of their registered parent firm. This score is not specific to Raves & Associates Private Wealth — it reflects the regulatory profile of INVESTMENT RESEARCH CORP.
What This Means
The firm behind this brand has strong transparency practices. Their regulatory filings show comprehensive disclosure across fees, conflicts, and services.
This places them in the 35th percentile of all scored firms.
This firm's regulatory filings show comprehensive disclosure. The full firm profile has the details.
See full score breakdownRegulatory Context
Regulatory oversight is under INVESTMENT RESEARCH CORP
Any complaints, disclosures, or disciplinary actions are filed against the registered firm — not the marketing brand. Always check the firm's record, not just the brand name.
1 of 16 firm advisors use this brand
INVESTMENT RESEARCH CORP has 16 total registered advisors. Only 1 operates under the Raves & Associates Private Wealth brand name.
Verify before you trust
A polished brand name doesn't guarantee quality advice. Check the firm's full regulatory profile and each advisor's individual score before making decisions.
Advisors Under This Brand(1)
These advisors use the Raves & Associates Private Wealth brand name with their clients. Each has their own individual transparency score based on their personal regulatory record.