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JIM SAULNIER & ASSOCIATES, LLC

FORT COLLINS, CO · CRD 169889 · IAPD ↗ · jimhelps.com · 970-530-0556

$286.4MRegulatory AUM
3Advisory reps
7Employees
51Clients
51-100Planning clients
0Private funds
20States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
August 2026 — JIM SAULNIER & ASSOCIATES, LLC notice-filed in IA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
47
July 2026 — JIM SAULNIER & ASSOCIATES, LLC notice-filed in MN, NE.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
April 2026 — JIM SAULNIER & ASSOCIATES, LLC notice-filed in MD.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
69
April 2026 — JIM SAULNIER & ASSOCIATES, LLC reported RAUM up 59% ($180.0M -> $286.4M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
44
December 2025 — JIM SAULNIER & ASSOCIATES, LLC notice-filed in GA, OH.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
50
April 2025 — JIM SAULNIER & ASSOCIATES, LLC shrank from 5 to 3 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
50
April 2025 — JIM SAULNIER & ASSOCIATES, LLC notice-filed in AZ, FL, LA, MI, NY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
65
April 2025 — JIM SAULNIER & ASSOCIATES, LLC reported RAUM up 55% ($116.4M -> $180.0M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
65
April 2025 — JIM SAULNIER & ASSOCIATES, LLC now reports custody of client assets ($5.7M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
44
March 2024 — JIM SAULNIER & ASSOCIATES, LLC notice-filed in IL, NJ.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand

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