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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

ASPEN FINANCIAL MANAGEMENT, INC.

CRD 116149

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:3dcf88c0-91cb-ce0a-e020-881ba2ba7b22

Data as of Jun 25, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Nov 15, 2011 to Jun 25, 2012
14 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $36.7MItem 5.F on the latest filing (2012-06-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $34.7M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $18.4Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Accounts: 480
SEC number: 801-68988
CRD: 116149
Filings on the tape: 14
First filed: Nov 15, 2011
Latest filed: Jun 25, 2012
Organised: Corporation, Nevada

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
ALAN ROBERT KEPFER	n/a	CHENEY, WA \| ARLINGTON, TX	23	28	n/a	no
DILISH CHAMPAKIAL DUDHIA	n/a	ARLINGTON, TX	4	28	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
ALAN AND AMY KEPFER LIVING TRUST	ALAN KEPFER - TRUSTEE AMY KEPFER - TRUSTEE	E	yes	01/2009	Apr 18, 2012	Jun 25, 2012
KEPFER, ALAN, ROBERT	Cco	Na	yes	04/2012	Nov 15, 2011	Jun 25, 2012
KEPFER, AMY, ZERNECHEL	VICE PRESIDENT	D	yes	06/2012	Nov 15, 2011	Jun 25, 2012

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
CORAL GABLES	FL	United States	n/a	no
Louisville	Ky	United States	n/a	no
n/a	n/a	n/a	n/a	no

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
2011	May 2, 2012	$36.7M	$34.7M	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
2011	$36.7M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Registered with (6)

← DILISH CHAMPAKIAL DUDHIAAdvisorregistration: current employment
Feb 11, 2022 to presentfactForm ADV
← ALAN ROBERT KEPFERAdvisorregistration: current employment
Apr 7, 2003 to presentfactForm ADV
← MARILYN MILLER MILLERAdvisorregistration: previous registration
Apr 10, 2009 to May 12, 2015factForm ADV
← MATTHEW JAMES DICKENAdvisorregistration: previous registration
Aug 12, 2008 to Jan 2, 2013factForm ADV
← CHARLES JUDE DZAMAAdvisorregistration: previous registration
Apr 18, 2012 to Jun 25, 2012factForm ADV
← JEFFREY EVANS JACKSONAdvisorregistration: previous registration
Jan 26, 2010 to Apr 23, 2010factForm ADV

Controls (3)

← KEPFER, ALAN, ROBERTOwnerCCO, ownership code NA, individual
Nov 15, 2011 to presentfactForm ADV
← KEPFER, AMY, ZERNECHELOwnerVICE PRESIDENT, ownership code D, individual
Nov 15, 2011 to presentfactForm ADV
← ALAN AND AMY KEPFER LIVING TRUSTOwnerALAN KEPFER - TRUSTEE AMY KEPFER - TRUSTEE, ownership code E, domestic entity
Apr 18, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3dcf88c0-91cb-ce0a-e020-881ba2ba7b22
First observed: Nov 15, 2011
Last observed: Jun 25, 2012 173 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.

ASPEN FINANCIAL MANAGEMENT, INC.

CRD 116149

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:3dcf88c0-91cb-ce0a-e020-881ba2ba7b22

Data as of Jun 25, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:33 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

ALAN ROBERT KEPFER

n/a

CHENEY, WA | ARLINGTON, TX

n/a

DILISH CHAMPAKIAL DUDHIA

n/a

ARLINGTON, TX

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ALAN AND AMY KEPFER LIVING TRUST

ALAN KEPFER - TRUSTEE AMY KEPFER - TRUSTEE

yes

01/2009

Apr 18, 2012

Jun 25, 2012

KEPFER, ALAN, ROBERT

Cco

yes

04/2012

Nov 15, 2011

Jun 25, 2012

KEPFER, AMY, ZERNECHEL

VICE PRESIDENT

yes

06/2012

Nov 15, 2011

Jun 25, 2012

City

State

Country

Employees

Also broker-dealer

CORAL GABLES

United States

n/a

Louisville

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

May 2, 2012

$36.7M

$34.7M

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

2011

$36.7M

n/a