FINANCIALLY SPEAKING INC
Adviser information for FINANCIALLY SPEAKING INC 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Colorado, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 593 | $158.1M |
| Non-Discretionary | 16 | $3.9M |
| Total | 609 | $162.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 293 | $162.0M |
| HNW Individuals | 0 | $0 |
| 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 | 0 | $0 |
| 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 | 1 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-38948 |
|---|---|
| SEC ERA File Number | 801-38948 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 106255 |
| Legal Entity Identifier | None |
Principal Office
5889 GREENWOOD PLAZA BLVDSUITE 400
GREENWOOD VILLAGE
CO
United States
Monday - Friday, 8:30A.M.-4:30P.M.
Tel: 303-290-0702, Fax: 303-290-6581
Websites
Chief Compliance Officer
PHILIP H. LUCCOCK
PRESIDENT
5889 GREENWOOD PLAZA BLVD
SUITE 400
GREENWOOD VILLAGE
CO
United States
Tel:
303-290-0702
Fax:
303-290-6581
P*******@*************************M
(Full email address available in API data)
Regulatory Contact
MYERS, STACY LUCCOCK
PRINCIPAL
5889 GREENWOOD PLAZA BLVD
SUITE 400
GREENWOOD VILLAGE
CO
United States
Tel:
(303) 290-0702
Fax:
(303) 290-6581
S*****@*************************M
(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 |
|---|---|---|---|---|---|
| LUCCOCK, PHILIP, HENRY | Individual | – | PRESIDENT/CHIEF COMPLIANCE OFFICER | 06/1991 | > 75% |
| MYERS, STACY, LUCCOCK | Individual | – | PRINCIPAL/CHIEF FINANCIAL OFFICER | 03/2004 | 10-25% |
| LUCCOCK, DANIEL, JAMES | Individual | – | PRINCIPAL | 01/2008 | 10-25% |