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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

FINANCIALLY SPEAKING INC

CRD 106255

GREENWOOD VILLAGE, CO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1c15b43f-c7e2-3e96-4300-d01ee66cdfb5

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 23, 2012 to Mar 24, 2026
20 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $165MItem 5.F on the latest filing (2026-03-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $160M
Private client RAUM: $165MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $165Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 5
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 595
Individual clients: 295
SEC number: 801-38948
CRD: 106255
Filings on the tape: 20
First filed: Mar 23, 2012
Latest filed: Mar 24, 2026
Organised: Corporation, CO
Website: financiallyspeakinginc.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
PHILIP HENRY LUCCOCK	Certified Financial Planner	GREENWOOD VILLAGE, CO	1	42	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
LUCCOCK, PHILIP, HENRY	PRESIDENT/CHIEF COMPLIANCE OFFICER	E	yes	06/1991	Mar 23, 2012	Oct 24, 2024
MYERS, STACY, LUCCOCK	PRINCIPAL/CHIEF FINANCIAL OFFICER	B	yes	03/2004	Mar 23, 2012	Oct 24, 2024
LUCCOCK, DANIEL, JAMES	Principal	B	no	01/2008	Mar 23, 2012	Oct 24, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 24, 2026	$165M	$160M	5	3	0	n/a	n/a
2024	Mar 25, 2025	$157M	$153M	5	3	0	n/a	n/a
2023	Mar 7, 2024	$162M	$158M	5	3	0	n/a	n/a
2022	Mar 21, 2023	$150M	$147M	4	2	0	n/a	n/a
2021	Mar 18, 2022	$156M	$153M	4	1	0	n/a	n/a
2020	Mar 31, 2021	$167M	$164M	4	1	0	n/a	n/a
2019	Mar 26, 2020	$153M	$152M	4	1	0	n/a	n/a
2018	Mar 14, 2019	$146M	$143M	4	1	1	n/a	n/a
2017	Mar 12, 2018	$150M	$146M	4	1	2	n/a	n/a
2016	Mar 23, 2017	$129M	$125M	4	1	n/a	n/a	n/a
2015	Mar 4, 2016	$112M	$109M	4	1	n/a	n/a	n/a
2014	Mar 2, 2015	$130M	$128M	5	2	n/a	n/a	n/a
2013	Mar 21, 2014	$124M	$122M	5	2	n/a	n/a	n/a
2012	Mar 12, 2013	$125M	$122M	5	2	n/a	n/a	n/a
2011	Mar 23, 2012	$98.9M	$96.4M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$165M	$157M	4.7%	$150M	3.3%	5	5	0	0

Relationships

Registered with (3)

← PHILIP HENRY LUCCOCKAdvisorregistration: current employment
Aug 18, 2025 to presentfactForm ADV
← PETER CHARLES JOHNSONAdvisorregistration: previous registration
Jan 1, 2010 to Jun 25, 2015factForm ADV
← KIRSTEN SHONSTROM HOLLANDERAdvisorregistration: previous registration
Mar 24, 2004 to Feb 23, 2007factForm ADV

Controls (2)

← LUCCOCK, PHILIP, HENRYOwnerPRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 23, 2012 to Oct 24, 2024factForm ADV
← MYERS, STACY, LUCCOCKOwnerPRINCIPAL/CHIEF FINANCIAL OFFICER, ownership code B, individual
Mar 23, 2012 to Oct 24, 2024factForm ADV

Owns (1)

← LUCCOCK, DANIEL, JAMESOwnerPRINCIPAL, ownership code B, individual
Mar 23, 2012 to Oct 24, 2024factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1c15b43f-c7e2-3e96-4300-d01ee66cdfb5
First observed: Mar 23, 2012
Last observed: Mar 24, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

FINANCIALLY SPEAKING INC

CRD 106255

GREENWOOD VILLAGE, CO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1c15b43f-c7e2-3e96-4300-d01ee66cdfb5

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:07 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

PHILIP HENRY LUCCOCK

Certified Financial Planner

GREENWOOD VILLAGE, CO

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

LUCCOCK, PHILIP, HENRY

PRESIDENT/CHIEF COMPLIANCE OFFICER

yes

06/1991

Mar 23, 2012

Oct 24, 2024

MYERS, STACY, LUCCOCK

PRINCIPAL/CHIEF FINANCIAL OFFICER

yes

03/2004

Mar 23, 2012

Oct 24, 2024

LUCCOCK, DANIEL, JAMES

Principal

01/2008

Mar 23, 2012

Oct 24, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 24, 2026

$165M

$160M

n/a

2024

Mar 25, 2025

$157M

$153M

n/a

2023

Mar 7, 2024

$162M

$158M

n/a

2022

Mar 21, 2023

$150M

$147M

n/a

2021

Mar 18, 2022

$156M

$153M

n/a

2020

Mar 31, 2021

$167M

$164M

n/a

2019

Mar 26, 2020

$153M

$152M

n/a

2018

Mar 14, 2019

$146M

$143M

n/a

2017

Mar 12, 2018

$150M

$146M

n/a

2016

Mar 23, 2017

$129M

$125M

n/a

2015

Mar 4, 2016

$112M

$109M

n/a

2014

Mar 2, 2015

$130M

$128M

n/a

2013

Mar 21, 2014

$124M

$122M

n/a

2012

Mar 12, 2013

$125M

$122M

n/a

2011

Mar 23, 2012

$98.9M

$96.4M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$165M

$157M

4.7%

$150M

3.3%