Hedge Fund Database

ASPEN WEALTH MANAGEMENT

HELEN STEPHENS GROUP, LLC Legal Name

Adviser information for ASPEN WEALTH MANAGEMENT last updated from Form ADV on February 7th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Texas, United States

Employees

Total Number of Employees 9
Investment Advisory/Research 6
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 6
Licensed Agents of an Insurance Company 1
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 840 $361.8M
Non-Discretionary 57 $6.6M
Total 897 $368.4M

Clients

Type Number RAUM
Individuals 159 $46.2M
HNW Individuals 128 $315.1M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 6 $6.6M
Charitable organizations <5 $403,819
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 0 $0
Other 0 $0
Type Number
No. of Non-RAUM Clients 21
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 11-25

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesCONSULTING
Compensation % of AUMHourly charges

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 361.3M
Portfolio Manager 361.3M
Both for Same 361.3M
Portfolio Manager to Program Sponsor
WEALTH MANAGEMENT PROGRAM HELEN STEPHENS GROUP, LLC D/B/A ASPEN WEALTH MANAGEMENT

Identifiers

SEC RIA File Number 801-114243
SEC ERA File Number 801-114243
SEC CIK Numbers 1895252
SEC CRD Numbers 159594
Legal Entity Identifier None

Principal Office

4200 S. HULEN ST.
SUITE 422
FORT WORTH
TX
United States
BY APPOINTMENT ONLY, 8:30 AM - 4:30 PM
Tel: 817-546-6353, Fax: 817-887-1585

Websites

www.aspenwealthmgmt.com www.facebook.com/aspenwealthmgmt/ twitter.com/aspenwealthmgmt www.linkedin.com/company/aspenwealthmanagement www.instagram.com/aspenwealth/

Chief Compliance Officer

HELEN STEPHENS
PRESIDENT
4200 S. HULEN ST.
SUITE 422
FORT WORTH
TX
United States
Tel: 817-546-6353
Fax: 817-887-1585
(Full email address available in API data)

Industry Affiliates

None

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
STEPHENS, HELEN, BARBRE Individual – PRESIDENT, CHIEF COMPLIANCE OFFICER 05/2011 50-75%
DAVIS, NATHAN, WAYNE Individual – MEMBER 01/2019 10-25%
Scholz, Candace Individual – MEMBER 01/2018 10-25%
Davila, Michelle, R Individual – MEMBER 01/2019 < 5%
DAVIS, JAMES, ARLEN Individual – MEMBER 05/2023 < 5%

No. Employees, Historic

105020192020202120222023202420254 on 11/22/20195 on 2/19/20205 on 6/23/20205 on 2/5/20215 on 6/17/20218 on 2/16/20228 on 7/18/20228 on 1/25/20238 on 5/22/20239 on 2/7/2024

RAUM, Historic

400M200M02019202020212022202320242025107283441 on 11/22/2019140112650 on 2/19/2020140112650 on 6/23/2020186305048 on 2/5/2021186305048 on 6/17/2021292212943 on 2/16/2022292212943 on 7/18/2022290631683 on 1/25/2023290631683 on 5/22/2023368373809 on 2/7/2024

No. Clients, Historic

30015002019202020212022202320242025155 on 11/22/2019174 on 2/19/2020174 on 6/23/2020197 on 2/5/2021197 on 6/17/2021237 on 2/16/2022237 on 7/18/2022257 on 1/25/2023257 on 5/22/2023293 on 2/7/2024

Holdings

From latest 13F, filed July 10th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ALPHABET INC CAP STK CL C 273K 1K 0
AMAZON COM INC COM 385K 2K 0
APPLE INC COM 3M 14K 0
BERKSHIRE HATHAWAY INC DEL CL B NEW 1M 3K 0
BLACKROCK ETF TRUST II HIGH YLD MUNI IN 450K 20K 0
CHEVRON CORP NEW COM 601K 4K 0
COSTCO WHSL CORP NEW COM 1M 1K 0
CULLEN FROST BANKERS INC COM 734K 7K 0
CVS HEALTH CORP COM 248K 4K 0
DIMENSIONAL ETF TRUST US EQUITY ETF 932K 16K 0
DIMENSIONAL ETF TRUST US CORE EQUITY 2 46M 1M 0
DIMENSIONAL ETF TRUST US SMALL CAP ETF 3M 45K 0
DIMENSIONAL ETF TRUST US TARGETED VLU 200K 4K 0
DIMENSIONAL ETF TRUST SHORT DURATION F 241K 5K 0
DIMENSIONAL ETF TRUST CORE FIXED INCOM 857K 21K 0
DIMENSIONAL ETF TRUST NATL MUN BD ETF 2M 46K 0
DIMENSIONAL ETF TRUST US HIGH PROFITAB 4M 115K 0
DIMENSIONAL ETF TRUST US REAL ESTATE E 7M 330K 0
DIMENSIONAL ETF TRUST INTL CORE EQUITY 22M 844K 0
DIMENSIONAL ETF TRUST EMERGING MKTS CO 1M 55K 0
DIMENSIONAL ETF TRUST US CORE EQT MKT 4M 107K 0
DIMENSIONAL ETF TRUST INTL CORE EQT MK 7M 221K 0
DISNEY WALT CO COM 205K 2K 0
ELI LILLY & CO COM 349K 385 0
ENERGY TRANSFER L P COM UT LTD PTN 270K 17K 0
EXXON MOBIL CORP COM 5M 39K 0
GENERAL DYNAMICS CORP COM 261K 900 0
GRIFOLS S A SP ADR REP B NVT 545K 86K 0
HCA HEALTHCARE INC COM 521K 2K 0
HOME DEPOT INC COM 228K 661 0
ISHARES INC MSCI EMERG MRKT 271K 5K 0
ISHARES TR CORE MSCI TOTAL 792K 12K 0
ISHARES TR CORE MSCI EAFE 739K 10K 0
ISHARES TR MSCI USA QLT FCT 31M 183K 0
ISHARES TR NATIONAL MUN ETF 2M 17K 0
ISHARES TR CRE U S REIT ETF 653K 12K 0
ISHARES TR SHRT NAT MUN ETF 6M 59K 0
ISHARES TR CORE DIV GRWTH 736K 13K 0
ISHARES TR CORE INTL AGGR 1M 30K 0
ISHARES TR CORE S&P TTL STK 1M 10K 0
ISHARES TR MORNINGSTR US EQ 852K 11K 0
ISHARES TR MORNINGSTAR GRWT 946K 12K 0
ISHARES TR MSCI EAFE ETF 637K 8K 0
ISHARES TR CORE S&P SCP ETF 428K 4K 0
ISHARES TR CORE S&P500 ETF 919K 2K 0
ISHARES TR RUS 1000 GRW ETF 1M 4K 0
ISHARES TR CORE S&P US VLU 232K 3K 0
ISHARES TR CORE S&P US GWT 19M 148K 0
ISHARES TR TRS FLT RT BD 2M 36K 0
J P MORGAN EXCHANGE TRADED F ULTRA SHRT INC 11M 226K 0
J P MORGAN EXCHANGE TRADED F ULTRA SHT MUNCPL 1M 21K 0
J P MORGAN EXCHANGE TRADED F MUNICIPAL ETF 9M 171K 0
J P MORGAN EXCHANGE TRADED F CORE PLUS BD ETF 7M 157K 0
JOHNSON & JOHNSON COM 538K 4K 0
JPMORGAN CHASE & CO. COM 938K 5K 0
LOCKHEED MARTIN CORP COM 1M 2K 0
LOWES COS INC COM 319K 1K 0
MARTIN MARIETTA MATLS INC COM 304K 561 0
MICROSOFT CORP COM 2M 5K 0
NOVARTIS AG SPONSORED ADR 449K 4K 0
PROCTER AND GAMBLE CO COM 541K 3K 0
PROSHARES TR S&P 500 DV ARIST 229K 2K 0
REGIONS FINANCIAL CORP NEW COM 328K 16K 0
SABRE CORP COM 116K 44K 0
SPDR INDEX SHS FDS PORTFOLIO DEVLPD 218K 6K 0
SPDR S&P 500 ETF TR TR UNIT 5M 9K 0
SPDR SER TR PORTFOLI S&P1500 270K 4K 0
SPDR SER TR PORTFOLIO S&P500 2M 33K 0
SPDR SER TR PORTFOLIO S&P600 242K 6K 0
VANGUARD CHARLOTTE FDS TOTAL INT BD ETF 18M 363K 0
VANGUARD INDEX FDS S&P 500 ETF SHS 2M 3K 0
VANGUARD INDEX FDS TOTAL STK MKT 1M 6K 0
VANGUARD INDEX FDS VALUE ETF 980K 6K 0
VANGUARD INDEX FDS GROWTH ETF 5M 14K 0
VANGUARD INDEX FDS LARGE CAP ETF 1M 5K 0
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 9M 207K 0
VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 212K 4K 0
VANGUARD MUN BD FDS TAX EXEMPT BD 256K 5K 0
VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 8M 101K 0
VANGUARD SPECIALIZED FUNDS DIV APP ETF 14M 79K 0
VANGUARD WHITEHALL FDS HIGH DIV YLD 406K 3K 0
VANGUARD WORLD FD MEGA GRWTH IND 305K 972 0
WALMART INC COM 1M 18K 0