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Katherine Preston

Western Wealth Management LLC
12 Years of Experience
Basalt, CO
1 DisclosureBrokerSells Insurance
View SEC Summary
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Katherine Preston is a registered investment advisor at Western Wealth Management LLC, based in Basalt, CO, with 12 years of industry experience. Katherine is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Charitable Giving, Divorce Planning, Education Planning, Estate Planning, and 6 more. Their firm serves 11,253 clients with $5.4B in assets under management.

Western Wealth Management LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
113 advisors
Number of Clients
11,253 clients
Average Client Portfolio
$476K average
Assets Under Management
$5.4B

Fee Structure

Planning is included in investment management
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any3.00%

Maximum annual fee for comprehensive portfolio management will not exceed 3.0% of assets under management. Alternatively, a flat fee not to exceed 2.5% or a negotiated flat rate may apply. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

211 Midland Ave, Ste 202, Basalt, CO, 81621

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 2017
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Katherine operates under Aspen Wealth Management as a DBA for her LPL business and provides investment advisory services through GPS Wealth Strategies Group, LLC, dedicating about half of her time to each. She also engages in real estate rental, sells non-variable insurance through Highland Capital Brokerage for a few hours per week, and manages Roaring Fork International Wealth Management LLC for tax/investment purposes, spending about a quarter of her time on it.

Employment History
Current Registrations
Western Wealth Management LLC
December 2025 - Present · 10 mos
LPL Financial LLCBroker
March 2024 - Present · 2 yrs 7 mos
Previous Registrations
Gps Wealth Strategies Group, LLC
March 2024 - December 2025 · 1 yr 9 mos
Edward Jones
September 2014 - March 2024 · 9 yrs 6 mos
Edward JonesBroker
June 2014 - March 2024 · 9 yrs 9 mos
State Registrations15 states
AZCACOFLILMIMNMTNCNVNYPATXUTWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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