M4 A3 LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$288,324,716
This total excludes 5 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
60
100% high-net worth
Advisors
1
of 6 employees
Firm type
Supported
1-3 advisors or $200M+ in AUM
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
60
TypicalAverage account size
$4,805,412
About
M4A3 provides investment management, financial planning and consulting services to high‑net‑worth individuals, families, charitable organizations and several affiliated private investment funds. The firm manages both individual portfolios and pooled investment vehicles and accepts discretionary and non‑discretionary mandates.
For traditional, liquid asset classes M4A3 generally favors a passive approach using ETFs and mutual funds, while pursuing active managers and bespoke investments in less efficient areas such as private equity, venture capital, distressed debt, natural resources and real estate. The firm also allocates to and sponsors proprietary privately placed securities and advises on legacy positions and non‑custodial products (for example, annuities and employer‑sponsored retirement plan assets).
What is atypical about M4A3 is its role as general partner and adviser to multiple affiliated Private Funds (Auklet Fund I–III and Longspur Fund I–II) and its use of performance‑based compensation, including carried interest and performance allocations, which creates potential side‑by‑side allocation and conflict‑of‑interest considerations. Despite a small advisory team, the firm manages over $322 million for roughly 60 clients and does not report a material roster of non‑high‑net‑worth individual clients, indicating a focus on HNW, accredited and qualified investors.
Client services
Portfolio management
Expertise
Private / alternative investments
Concentrated stock management
Passive / index investing
Fee options
Up to 0.85% annually, varies depending on portfolio size, composition, services, and advisor
Performance-based fees and carried interest for Private Funds as disclosed in Offering Documents
Main office location
M4 A3 LLC
820 Pearl Street, Ste F
Boulder CO 80302, United States
Number of offices
1
Most active in
M4 A3 LLC has reported serving >5 clients in these states in the last 12 months.
Colorado
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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