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FINANCIAL COUNSELING ASSOCIATES, INC

· CRD 115123 · IAPD ↗ · 720-272-4419

$103.5MRegulatory AUM
2Advisory reps
2Employees
0Clients
101-250Planning clients
0Private funds
3States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

42
July 2024 — FINANCIAL COUNSELING ASSOCIATES, INC notice-filed in FL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
July 2024 — FINANCIAL COUNSELING ASSOCIATES, INC reported RAUM down 63% ($293.0M -> $107.2M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
50
July 2024 — FINANCIAL COUNSELING ASSOCIATES, INC shrank from 4 to 2 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
61
March 2024 — FINANCIAL COUNSELING ASSOCIATES, INC reports 251-500 financial-planning clients, up from 101-250.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.