{ "crd_number": 313212, "slug": "aspen-wealth-management-llc-aventura-fl-313212", "primary_business_name": "ASPEN WEALTH MANAGEMENT, LLC", "legal_name": "ASPEN WEALTH MANAGEMENT, LLC", "dbas": [], "city": "Aventura", "state": "FL", "country": "United States", "cbsa_code": "33100", "metro": { "cbsa_code": "33100", "common_name": "Miami", "msa_name": "Miami-Fort Lauderdale-West Palm Beach, FL", "path": "/advisors/fl/miami" }, "registration_type": "state", "registration_status": "APPROVED", "registration_date": "2021-09-10", "years_registered": 5, "period": "2026-10-01", "filing_date": "2026-03-20", "carried_forward": false, "raum_total": 33191980.0, "raum_discretionary": 33191980.0, "raum_non_discretionary": 0.0, "raum_band": "25m_100m", "raum_band_label": "$25 million to $100 million", "total_employees": 1, "advisory_employees": 1, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "individuals": { "raum": 969183.0, "count": 7 }, "pension_profit_sharing": { "raum": 1257501.0, "count": 1, "fewer_than_5": true }, "high_net_worth_individuals": { "raum": 30965296.0, "count": 9 } }, "compensation_types": [ "fixed", "hourly", "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "portfolio_management_individuals" ], "wrap_fee_participant": false, "disclosure_yes_count": 2, "states_registered": [ "FL" ], "websites": [ "https://aspen-wm.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/313212", "disclosure_items": [ { "item": "11.E(2)", "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?" }, { "item": "11.E(4)", "question": "Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?" } ], "city_as_filed": "AVENTURA", "url": "https://advisorcensus.com/firm/aspen-wealth-management-llc-aventura-fl-313212", "display_name": "Aspen Wealth Management, LLC", "summary": "Aspen Wealth Management, LLC is a state-registered investment advisory firm in Aventura, FL, registered since 2021, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 20, 2026.", "citation": "AdvisorCensus. Aspen Wealth Management, LLC (CRD 313212): Form ADV filing data as of October 2026.", "registration_type_label": "State-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Hourly charges", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses" ], "quick_answers": [ { "q": "How is Aspen Wealth Management, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Aspen Wealth Management, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Aspen Wealth Management, LLC located?", "a": "Aspen Wealth Management, LLC's principal office is in Aventura, FL, according to its Form ADV." }, { "q": "Is Aspen Wealth Management, LLC registered with the SEC or a state?", "a": "Aspen Wealth Management, LLC is a state-registered investment advisory firm, registered since 2021. Status as filed: APPROVED. CRD 313212." }, { "q": "How much does Aspen Wealth Management, LLC manage?", "a": "Aspen Wealth Management, LLC reports $33,191,980 in regulatory assets under management in its Form ADV filing dated March 20, 2026 (100% discretionary)." }, { "q": "What types of clients does Aspen Wealth Management, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (9); individuals (other than high net worth individuals) (7); pension and profit sharing plans (but not the plan participants or government pension plans) (1)." }, { "q": "Does Aspen Wealth Management, LLC report any disciplinary disclosures?", "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.E(2) (self-regulatory organization's finding of a rule violation) and 11.E(4) (self-regulatory organization's expulsion, suspension, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/313212" } ], "filing_history": [], "recent_changes": [], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/aspen-wealth-management-llc-aventura-fl-313212.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 7, "fewer_than_5": false, "raum": 969183.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 9, "fewer_than_5": false, "raum": 30965296.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 1, "fewer_than_5": true, "raum": 1257501.0 } ], "disclosure_line": "Reports 2 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/313212", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }