Hedge Fund Database

ASPEN WEALTH STRATEGIES, LLC

Adviser information for ASPEN WEALTH STRATEGIES, LLC last updated from Form ADV on March 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 Colorado, United States

Employees

Total Number of Employees 7
Investment Advisory/Research 5
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 5
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 1

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 1,074 $240.8M
Non-Discretionary 92 $7.9M
Total 1,166 $248.7M

Clients

Type Number RAUM
Individuals 246 $67.2M
HNW Individuals 109 $175.0M
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 0 $0
Charitable organizations 8 $6.6M
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 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 1-10

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businesses
Compensation % of AUMHourly chargesFixed feesCONSULTING FEES

Identifiers

SEC RIA File Number 801-119473
SEC ERA File Number 801-119473
SEC CIK Numbers 1972517
SEC CRD Numbers 307424
Legal Entity Identifier None

Principal Office

8333 RALSTON ROAD,
SUITE 2
ARVADA
CO
United States
Monday - Friday, 9AM - 5PM
Tel: (303) 421-1113, Fax: 303-421-2301

Websites

www.linkedin.com/company/aspen-wealth-strategies/ aspenwealthstrategies.com/ twitter.com/aspenwealth www.facebook.com/aspenwealthstrategies/

Chief Compliance Officer

AMBER ANDERSON
PRESIDENT
8333 RALSTON ROAD
SUITE 2
ARVADA
CO
United States
Tel: 3034211113
Fax: 303-421-2301
(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
MCCLAFLIN, ANDY, DON Individual – CHAIRMAN AND WEALTH ADVISOR 02/2020 > 75%
ANDERSON, AMBER, KELLY Individual – CHIEF COMPLIANCE OFFICER AND CHIEF EXECUTIVE OFFICER 02/2020 < 5%

No. Employees, Historic

10502020202120222023202420254 on 8/17/20204 on 11/12/20209 on 1/15/20218 on 4/16/20218 on 6/16/20218 on 7/30/20219 on 3/10/20229 on 6/13/20229 on 8/12/20227 on 3/9/20237 on 6/5/20238 on 7/27/20237 on 3/7/2024

RAUM, Historic

300M150M02020202120222023202420250 on 8/17/20200 on 11/12/2020184114212 on 1/15/2021184114212 on 4/16/2021184114212 on 6/16/2021184114212 on 7/30/2021248488743 on 3/10/2022248488743 on 6/13/2022248488743 on 8/12/2022226300769 on 3/9/2023226300769 on 6/5/2023226300769 on 7/27/2023248713413 on 3/7/2024

No. Clients, Historic

40020002020202120222023202420250 on 8/17/20200 on 11/12/2020234 on 1/15/2021234 on 4/16/2021234 on 6/16/2021234 on 7/30/2021300 on 3/10/2022300 on 6/13/2022300 on 8/12/2022374 on 3/9/2023374 on 6/5/2023374 on 7/27/2023363 on 3/7/2024

Holdings

From latest 13F, filed July 19th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBOTT LABS COM 256K 2K –
ABBVIE INC COM 2M 11K –
AIR PRODS & CHEMS INC COM 1M 4K –
ALPHABET INC CAP STK CL A 3M 15K –
ALPHABET INC CAP STK CL C 347K 2K –
AMAZON COM INC COM 1M 7K –
APPLE INC COM 4M 16K –
AT&T INC COM 257K 13K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 561K 1K –
BHP GROUP LTD SPONSORED ADS 318K 6K –
BROADCOM INC COM 2M 10K –
CAPITAL ONE FINL CORP COM 668K 4K –
CHEVRON CORP NEW COM 1M 8K –
CISCO SYS INC COM 589K 12K –
CITIGROUP INC COM NEW 233K 3K –
CONOCOPHILLIPS COM 1M 9K –
CVS HEALTH CORP COM 788K 13K –
DEERE & CO COM 1M 3K –
DEVON ENERGY CORP NEW COM 241K 5K –
DISNEY WALT CO COM 529K 5K –
EOG RES INC COM 530K 4K –
EXCHANGE TRADED CONCEPTS TRU ETC 6 HEDGED EQU 344K 10K –
EXXON MOBIL CORP COM 436K 4K –
FIRST TR EXCH TRADED FD III PFD SECS INC ETF 888K 50K –
FS CREDIT OPPORTUNITIES CORP COMMON STOCK 90K 14K –
HEALTHPEAK PROPERTIES INC COM 301K 14K –
HOME DEPOT INC COM 836K 2K –
INVESCO EXCHANGE TRADED FD T S&P MDCP QUALITY 8M 76K –
ISHARES TR SHRT NAT MUN ETF 518K 5K –
ISHARES TR ESG AWR MSCI USA 287K 2K –
ISHARES TR CORE MSCI EAFE 6M 85K –
ISHARES TR ISHARES BIOTECH 308K 2K –
ISHARES TR U.S. BAS MTL ETF 407K 3K –
ISHARES TR CORE S&P500 ETF 17M 31K –
ISHARES TR NATIONAL MUN ETF 849K 8K –
ISHARES TR 20 YR TR BD ETF 596K 6K –
ISHARES TR BLACKROCK ULTRA 275K 5K –
J P MORGAN EXCHANGE TRADED F ULTRA SHRT INC 1M 27K –
J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM 228K 4K –
JANUS DETROIT STR TR HENDERSON MTG 628K 14K –
JOHNSON & JOHNSON COM 275K 2K –
JPMORGAN CHASE & CO. COM 2M 8K –
KROGER CO COM 542K 10K –
LOWES COS INC COM 273K 1K –
LULULEMON ATHLETICA INC COM 313K 1K –
MERCK & CO INC COM 338K 3K –
META PLATFORMS INC CL A 558K 1K –
MICROSOFT CORP COM 3M 7K –
PACER FDS TR PACER US SMALL 5M 105K –
PFIZER INC COM 251K 8K –
QUALCOMM INC COM 345K 2K –
RIO TINTO PLC SPONSORED ADR 288K 4K –
SCHLUMBERGER LTD COM STK 593K 12K –
SCHWAB STRATEGIC TR US LCAP GR ETF 19M 189K –
SCHWAB STRATEGIC TR SHT TM US TRES 5M 105K –
SCHWAB STRATEGIC TR US DIVIDEND EQ 2M 22K –
SIMPLIFY EXCHANGE TRADED FUN VOLATILITY PREM 499K 22K –
SIMPLIFY EXCHANGE TRADED FUN AGGREGATE BOND E 624K 29K –
SPDR S&P 500 ETF TR TR UNIT 208K 374 –
STARBUCKS CORP COM 320K 4K –
TESLA INC COM 696K 3K –
UNITEDHEALTH GROUP INC COM 1M 2K –
VANECK ETF TRUST MRNGSTR WDE MOAT 19M 215K –
VANGUARD INDEX FDS VALUE ETF 15M 91K –
VANGUARD MUN BD FDS TAX EXEMPT BD 528K 10K –
VANGUARD WHITEHALL FDS INTL DVD ETF 232K 3K –
VANGUARD WHITEHALL FDS INTL HIGH ETF 574K 8K –
VANGUARD WORLD FD HEALTH CAR ETF 480K 2K –
VANGUARD WORLD FD UTILITIES ETF 324K 2K –
VERIZON COMMUNICATIONS INC COM 546K 13K –
VISA INC COM CL A 715K 3K –
WALMART INC COM 2M 22K –
XCEL ENERGY INC COM 752K 14K –