Aspen Financial, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
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
Expertise
Fee options
Up to 1.5% annually (maximum)
Account minimum: $25,000
Main office
Snowmass Village CO
Advisors at this office
1
Most active in
Colorado · New York
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
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
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