Aspen Financial, Inc.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$17,484,032
Total clients
30
20% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
30
Average account size
$582,801
About
Aspen Financial, Inc. provides fee-based, discretionary asset management and portfolio services primarily to individual and high-net-worth clients, constructing investment programs based on clients’ stated goals, time horizons, and risk tolerances. The firm does not act as a custodian and discloses that it does not sell annuities, insurance, mutual funds, limited partnerships, or other commissioned products.
The firm’s investment process combines fundamental top-down analysis with technical analysis and may include swing trading as well as longer-term purchases, with strategies documented through an initial client questionnaire and implemented on a discretionary basis. It cites a broad set of market and economic information sources (for example Bloomberg, Bureau of Labor Statistics, Stratfor and market newsletters) and explicitly monitors risks such as interest-rate, market, liquidity, and option-specific risks when constructing portfolios.
Distinctive features include an explicit policy of receiving no external compensation for securities sales and a stated practice of not voting client proxies unless assistance is requested, which differs from many peer practices. The adviser operates at a small scale (roughly thirty clients and under $20 million in assets under management), and its principal holds CFP certification and brings several decades of financial-industry experience alongside an atypical operational background and nonprofit leadership.
Client services
Portfolio management
Expertise
Active portfolio management
Fee options
Up to 1.5% annually (maximum)
Account minimum: $25,000
Most active in
Aspen Financial, Inc. has reported serving >5 clients in these states in the last 12 months.
Colorado · New York
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.
Forms ADV
Quick links
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