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PERSPECTIVE WEALTH ADVISORS

LOVELAND, CO · CRD 332574 · IAPD ↗ · 970-732-7975

$158.0MRegulatory AUM
4Advisory reps
7Employees
0Clients
26-50Planning clients
0Private funds
5States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

62
April 2026 — PERSPECTIVE WEALTH ADVISORS reported RAUM up 40% ($113.1M -> $158.0M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
42
April 2025 — PERSPECTIVE WEALTH ADVISORS notice-filed in NE.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
64
April 2025 — PERSPECTIVE WEALTH ADVISORS reports 26-50 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
65
January 2025 — PERSPECTIVE WEALTH ADVISORS now reports custody of client assets ($2.6M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
70
January 2025 — PERSPECTIVE WEALTH ADVISORS's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
95
October 2024 — PERSPECTIVE WEALTH ADVISORS (LOVELAND, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

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