ASPEN INVESTMENT MANAGEMENT INC.
Adviser information for ASPEN INVESTMENT MANAGEMENT INC. last updated from Form ADV on March 11th, 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 | Michigan, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| 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 | 215 | $257.1M |
| Non-Discretionary | 0 | $0 |
| Total | 215 | $257.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 183 | $121.8M |
| HNW Individuals | 28 | $132.2M |
| 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 | <5 | $2.6M |
| 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 | <5 | $493,018 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Principal Office
519 ADA DR SESTE 201
ADA
MI
United States
Monday - Friday, 9:30AM - 5:00PM
Tel: 616-361-2500, Fax: 616-361-2543
Chief Compliance Officer
WILLIAM J. ALPHENAAR
PRESIDENT
519 ADA DR SE
STE 201
ADA
MI
United States
Tel:
616-361-2500
Fax:
616-361-2543
B***@**********M
(Full email address available in API data)
Regulatory Contact
RICHARD KNOOR
CO-OWNER
519 ADA DR SE
STE. 201
ADA
MI
United States
Tel:
616-361-2500
Fax:
616-361-2543
R***@**********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 |
|---|---|---|---|---|---|
| ALPHENAAR, WILLIAM, JOHN | Individual | – | PRESIDENT | 10/2011 | 25-50% |
| ALPHENAAR, WILLIAM, JOHN | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2011 | 25-50% |
| KNOOR, RICHARD, GREGORY | Individual | – | TREASURER | 10/2011 | 25-50% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 26th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| SPDR S&P 500 ETF TR | TR UNIT | 18K | 33K | Aspen |
| INVESCO EXCHANGE TRADED FD T | S&P500 EQL WGT | 8K | 51K | Aspen |
| MICROSOFT CORP | COM | 8K | 19K | Aspen |
| ISHARES TR | RUSSELL 2000 ETF | 6K | 30K | Aspen |
| ISHARES TR | ISHS 5-10YR INVT | 6K | 115K | Aspen |
| ISHARES TR | CORE MSCI EAFE | 6K | 78K | Aspen |
| ISHARES TR | ISHS 1-5YR INVS | 4K | 82K | Aspen |
| FIRST TR EXCH TRADED FD III | PFD SECS INC ETF | 4K | 217K | Aspen |
| JPMORGAN CHASE & CO. | COM | 4K | 18K | Aspen |
| APPLE INC | COM | 4K | 17K | Aspen |
| FIRST TR EXCHANGE-TRADED FD | SENIOR LN FD | 3K | 71K | Aspen |
| ISHARES TR | CORE S&P500 ETF | 3K | 6K | Aspen |
| AMAZON COM INC | COM | 3K | 16K | Aspen |
| SPDR SER TR | PRTFLO S&P500 GW | 3K | 37K | Aspen |
| WALMART INC | COM | 3K | 44K | Aspen |
| INVESCO EXCH TRD SLF IDX FD | BULSHS 2027 CB | 3K | 145K | Aspen |
| GOLDMAN SACHS GROUP INC | COM | 3K | 6K | Aspen |
| ALPHABET INC | CAP STK CL A | 3K | 15K | Aspen |
| PIMCO ETF TR | 0-5 HIGH YIELD | 2K | 27K | Aspen |
| SPDR GOLD TR | GOLD SHS | 2K | 11K | Aspen |
| PEPSICO INC | COM | 2K | 14K | Aspen |
| FAIR ISAAC CORP | COM | 2K | 1K | Aspen |
| HOME DEPOT INC | COM | 2K | 6K | Aspen |
| CSX CORP | COM | 2K | 62K | Aspen |
| VANGUARD INDEX FDS | REAL ESTATE ETF | 2K | 23K | Aspen |
| INVESCO EXCH TRD SLF IDX FD | INVSCO BLSH 28 | 2K | 96K | Aspen |
| WISDOMTREE TR | US SMALLCAP DIVD | 2K | 59K | Aspen |
| VISA INC | COM CL A | 2K | 7K | Aspen |
| WASTE MGMT INC DEL | COM | 2K | 8K | Aspen |
| JOHNSON & JOHNSON | COM | 2K | 12K | Aspen |
| INVESCO EXCH TRD SLF IDX FD | BULSHS 2026 CB | 2K | 92K | Aspen |
| TRANE TECHNOLOGIES PLC | SHS | 2K | 5K | Aspen |
| SCHWAB STRATEGIC TR | US SML CAP ETF | 2K | 37K | Aspen |
| INVESCO EXCH TRD SLF IDX FD | BULSHS 2025 CB | 2K | 85K | Aspen |
| AMGEN INC | COM | 2K | 6K | Aspen |
| INTERCONTINENTAL EXCHANGE IN | COM | 2K | 13K | Aspen |
| EXXON MOBIL CORP | COM | 2K | 14K | Aspen |
| CHEVRON CORP NEW | COM | 2K | 10K | Aspen |
| SCHWAB CHARLES CORP | COM | 2K | 22K | Aspen |
| SELECT SECTOR SPDR TR | INDL | 2K | 13K | Aspen |
| SCHWAB STRATEGIC TR | US LRG CAP ETF | 2K | 24K | Aspen |
| SCHWAB STRATEGIC TR | INTL EQTY ETF | 2K | 39K | Aspen |
| STRYKER CORPORATION | COM | 1K | 4K | Aspen |
| ILLINOIS TOOL WKS INC | COM | 1K | 6K | Aspen |
| VANGUARD INDEX FDS | MID CAP ETF | 1K | 6K | Aspen |
| HUNTINGTON BANCSHARES INC | COM | 1K | 107K | Aspen |
| BANK AMERICA CORP | COM | 1K | 35K | Aspen |
| SELECT SECTOR SPDR TR | SBI INT-UTILS | 1K | 20K | Aspen |
| AUTOMATIC DATA PROCESSING IN | COM | 1K | 5K | Aspen |
| PROCTER AND GAMBLE CO | COM | 1K | 7K | Aspen |
| CROWDSTRIKE HLDGS INC | CL A | 1K | 3K | Aspen |
| MERCK & CO INC | COM | 1K | 9K | Aspen |
| NEXTERA ENERGY INC | COM | 1K | 15K | Aspen |
| META PLATFORMS INC | CL A | 1K | 2K | Aspen |
| MONDELEZ INTL INC | CL A | 1K | 16K | Aspen |
| CATERPILLAR INC | COM | 1K | 3K | Aspen |
| JOHNSON CTLS INTL PLC | SHS | 1K | 15K | Aspen |
| ELI LILLY & CO | COM | 1K | 1K | Aspen |
| EDWARDS LIFESCIENCES CORP | COM | 1K | 11K | Aspen |
| INTERNATIONAL BUSINESS MACHS | COM | 1K | 6K | Aspen |
| CISCO SYS INC | COM | 988 | 21K | Aspen |
| EATON CORP PLC | SHS | 968 | 3K | Aspen |
| ONTO INNOVATION INC | COM | 965 | 4K | Aspen |
| ISHARES TR | MSCI EAFE ETF | 956 | 12K | Aspen |
| VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 937 | 21K | Aspen |
| LOCKHEED MARTIN CORP | COM | 922 | 2K | Aspen |
| ABRDN ETFS | BBRG ALL COMD K1 | 894 | 44K | Aspen |
| ABBVIE INC | COM | 872 | 5K | Aspen |
| WILLIAMS COS INC | COM | 847 | 20K | Aspen |
| ISHARES INC | CORE MSCI EMKT | 830 | 16K | Aspen |
| THERMO FISHER SCIENTIFIC INC | COM | 830 | 2K | Aspen |
| NVIDIA CORPORATION | COM | 825 | 7K | Aspen |
| ABBOTT LABS | COM | 818 | 8K | Aspen |
| PAYPAL HLDGS INC | COM | 781 | 13K | Aspen |
| AMERICAN EXPRESS CO | COM | 768 | 3K | Aspen |
| QUALCOMM INC | COM | 767 | 4K | Aspen |
| SPDR S&P MIDCAP 400 ETF TR | UTSER1 S&PDCRP | 765 | 1K | Aspen |
| TEXAS INSTRS INC | COM | 719 | 4K | Aspen |
| SELECT SECTOR SPDR TR | SBI MATERIALS | 705 | 8K | Aspen |
| SCHWAB STRATEGIC TR | INTL SCEQT ETF | 698 | 20K | Aspen |
| ISHARES TR | RUS 1000 ETF | 697 | 2K | Aspen |
| BANK NEW YORK MELLON CORP | COM | 692 | 12K | Aspen |
| APPLIED MATLS INC | COM | 677 | 3K | Aspen |
| INTEL CORP | COM | 635 | 21K | Aspen |
| COCA COLA CO | COM | 635 | 10K | Aspen |
| SELECT SECTOR SPDR TR | TECHNOLOGY | 622 | 3K | Aspen |
| ETHAN ALLEN INTERIORS INC | COM | 618 | 22K | Aspen |
| SCHWAB STRATEGIC TR | EMRG MKTEQ ETF | 608 | 23K | Aspen |
| SCHWAB STRATEGIC TR | US MID-CAP ETF | 599 | 8K | Aspen |
| OWENS CORNING NEW | COM | 595 | 3K | Aspen |
| CONOCOPHILLIPS | COM | 593 | 5K | Aspen |
| ALPHABET INC | CAP STK CL C | 584 | 3K | Aspen |
| WELLS FARGO CO NEW | COM | 563 | 9K | Aspen |
| ELEVANCE HEALTH INC | COM | 544 | 1K | Aspen |
| DUKE ENERGY CORP NEW | COM NEW | 507 | 5K | Aspen |
| METLIFE INC | COM | 506 | 7K | Aspen |
| ISHARES TR | CALIF MUN BD ETF | 496 | 9K | Aspen |
| PFIZER INC | COM | 484 | 17K | Aspen |
| BOSTON SCIENTIFIC CORP | COM | 483 | 6K | Aspen |
| FIRST TR EXCHANGE-TRADED FD | NO AMER ENERGY | 465 | 15K | Aspen |
| MARATHON PETE CORP | COM | 464 | 3K | Aspen |
| WISDOMTREE TR | US MIDCAP DIVID | 455 | 10K | Aspen |
| ISHARES TR | S&P 100 ETF | 449 | 2K | Aspen |
| ALLY FINL INC | COM | 441 | 11K | Aspen |
| MARRIOTT INTL INC NEW | CL A | 440 | 2K | Aspen |
| ORACLE CORP | COM | 434 | 3K | Aspen |
| SCHWAB STRATEGIC TR | US DIVIDEND EQ | 416 | 5K | Aspen |
| FIRST TR EXCHANGE TRADED FD | NASDAQ CYB ETF | 389 | 7K | Aspen |
| SELECT SECTOR SPDR TR | ENERGY | 373 | 4K | Aspen |
| WORKDAY INC | CL A | 369 | 2K | Aspen |
| DEERE & CO | COM | 359 | 960 | Aspen |
| VANGUARD SPECIALIZED FUNDS | DIV APP ETF | 354 | 2K | Aspen |
| PINTEREST INC | CL A | 348 | 8K | Aspen |
| MEDTRONIC PLC | SHS | 347 | 4K | Aspen |
| BRISTOL-MYERS SQUIBB CO | COM | 347 | 8K | Aspen |
| GE AEROSPACE | COM NEW | 347 | 2K | Aspen |
| SELECT SECTOR SPDR TR | SBI HEALTHCARE | 346 | 2K | Aspen |
| UNITEDHEALTH GROUP INC | COM | 335 | 658 | Aspen |
| COSTCO WHSL CORP NEW | COM | 334 | 393 | Aspen |
| AMERICAN INTL GROUP INC | COM NEW | 322 | 4K | Aspen |
| DISNEY WALT CO | COM | 320 | 3K | Aspen |
| QUANTA SVCS INC | COM | 319 | 1K | Aspen |
| TRAVELERS COMPANIES INC | COM | 309 | 2K | Aspen |
| MONSTER BEVERAGE CORP NEW | COM | 305 | 6K | Aspen |
| SELECT SECTOR SPDR TR | FINANCIAL | 301 | 7K | Aspen |
| MARVELL TECHNOLOGY INC | COM | 301 | 4K | Aspen |
| SCHWAB STRATEGIC TR | US LCAP GR ETF | 301 | 3K | Aspen |
| IRON MTN INC DEL | COM | 292 | 3K | Aspen |
| MCDONALDS CORP | COM | 272 | 1K | Aspen |
| ISHARES TR | CORE S&P MCP ETF | 259 | 4K | Aspen |
| WISDOMTREE TR | ITL HDG QTLY DIV | 258 | 6K | Aspen |
| PAYCHEX INC | COM | 250 | 2K | Aspen |
| ISHARES TR | RUS 1000 GRW ETF | 248 | 680 | Aspen |
| VANGUARD WHITEHALL FDS | HIGH DIV YLD | 246 | 2K | Aspen |
| SCHWAB STRATEGIC TR | US LCAP VA ETF | 236 | 3K | Aspen |
| DTE ENERGY CO | COM | 232 | 2K | Aspen |
| MOTOROLA SOLUTIONS INC | COM NEW | 232 | 600 | Aspen |
| MCKESSON CORP | COM | 231 | 395 | Aspen |
| REPUBLIC SVCS INC | COM | 230 | 1K | Aspen |
| M/I HOMES INC | COM | 228 | 2K | Aspen |
| HCA HEALTHCARE INC | COM | 226 | 703 | Aspen |
| SHERWIN WILLIAMS CO | COM | 224 | 750 | Aspen |
| ISHARES TR | RUS MID CAP ETF | 219 | 3K | Aspen |
| NUVEEN NASDAQ 100 DYNAMIC OV | COM SHS | 204 | 8K | Aspen |
| CITIGROUP INC | COM NEW | 202 | 3K | Aspen |
| RTX CORPORATION | COM | 201 | 2K | Aspen |
| DOCUSIGN INC | COM | 201 | 4K | Aspen |
| CORNING INC | COM | 200 | 5K | Aspen |