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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

STRATEGIES CAPITAL MANAGEMENT

STRATEGIES LLC, CRD 114035

DENVER, 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:600fcf57-5b54-6423-8e79-b584f79bb5d4

Data as of Mar 28, 2020 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 1
Observed: Apr 2, 2012 to Mar 28, 2020
26 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

Strategies Capital Management

Investment consultant · shared crd

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: $519MItem 5.F on the latest filing (2020-03-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $121M
Private client RAUM: $30.7MderivedItem 5.D individuals plus high net worth individuals
Private client share: 6%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 97
Individual clients: 17
High net worth clients: 11
Custody, client assets: $0
SEC number: 801-62180
CRD: 114035
Filings on the tape: 26
First filed: Apr 2, 2012
Latest filed: Mar 28, 2020
Organised: Limited Liability Company, Colorado

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
GONNELLA, THOMAS, AMEDIO	MANAGING MEMBER, CCO	D	yes	12/2012	Mar 22, 2013	Mar 28, 2020
HALSETH, DAVID, MARTIN	MANAGING MEMBER	D	yes	06/1993	Apr 2, 2012	Mar 28, 2020

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
ADVISORY CONSULTING GROUP LLC	n/a	Former SEC adviser	$23.2M	N	no	n/a
SULLIVAN FINANCIAL PLANNING, LLC	n/a	State registered	n/a	N	no	n/a

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
2019	Mar 28, 2020	$519M	$121M	4	4	0	n/a	n/a
2018	Jan 29, 2019	$472M	$113M	4	4	1	n/a	n/a
2017	Feb 23, 2018	$562M	$137M	6	3	1	n/a	n/a
2016	Jan 20, 2017	$523M	$95.6M	6	3	n/a	n/a	n/a
2015	Mar 4, 2016	$518M	$84.2M	6	3	n/a	n/a	n/a
2014	Mar 30, 2015	$67.6M	$63.9M	7	3	n/a	n/a	n/a
2013	Mar 26, 2014	$71.3M	$71.3M	7	4	n/a	n/a	n/a
2012	Mar 22, 2013	$60.2M	$60.2M	6	4	n/a	n/a	n/a
2011	Apr 2, 2012	$1.1B	$47.7M	n/a	n/a	n/a	n/a	n/a

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
2019	$519M	$472M	9.9%	$523M	-0.3%	4	4	0	1

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
ADVISORY CONSULTING GROUP LLC	2	Jul 6, 2020	Jan 31, 2018	DENVER, CO	Team lift out	Other	66.7%

Relationships

Affiliated with (3)

→ ADVISORY CONSULTING GROUP LLCRegistered adviserother investment adviser, LP sponsor
factForm ADV
→ SULLIVAN FINANCIAL PLANNING, LLCRegistered adviserother investment adviser
factForm ADV
← STRATEGIES INVESTMENT MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (2)

← HALSETH, DAVID, MARTINOwnerMANAGING MEMBER, ownership code D, individual
Apr 2, 2012 to presentfactForm ADV
← GONNELLA, THOMAS, AMEDIOOwnerMANAGING MEMBER, CCO, ownership code D, individual
Mar 22, 2013 to presentfactForm ADV

Registered with (6)

← DAVID MARTIN HALSETHAdvisorregistration: previous registration
Jan 1, 1999 to Jul 6, 2020factForm ADV
← RYAN R WELLSAdvisorregistration: previous registration
Jan 30, 2018 to Jul 6, 2020factForm ADV
← THOMAS AMEDIO GONNELLAAdvisorregistration: previous registration
Jun 7, 2016 to Jul 6, 2020factForm ADV
← RICHARD ANTHONY RODGERSAdvisorregistration: previous registration
May 23, 2018 to Mar 12, 2020factForm ADV
← KRISTIN CLAIRE SULLIVANAdvisorregistration: previous registration
Apr 2, 2012 to May 10, 2018factForm ADV
← Amanda Hayda StaplesAdvisorregistration: previous registration
Oct 31, 2008 to Dec 17, 2008factForm ADV

Moved with (1)

→ ADVISORY CONSULTING GROUP LLCRegistered adviser2 advisors, team lift out, same day
Jul 6, 2020 to Jan 31, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:600fcf57-5b54-6423-8e79-b584f79bb5d4
First observed: Apr 2, 2012
Last observed: Mar 28, 2020 78 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.

STRATEGIES CAPITAL MANAGEMENT

STRATEGIES LLC, CRD 114035

DENVER, 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:600fcf57-5b54-6423-8e79-b584f79bb5d4

Data as of Mar 28, 2020 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:40 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GONNELLA, THOMAS, AMEDIO

MANAGING MEMBER, CCO

yes

12/2012

Mar 22, 2013

Mar 28, 2020

HALSETH, DAVID, MARTIN

MANAGING MEMBER

yes

06/1993

Apr 2, 2012

Mar 28, 2020

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ADVISORY CONSULTING GROUP LLC

n/a

Former SEC adviser

$23.2M

n/a

SULLIVAN FINANCIAL PLANNING, LLC

n/a

State registered

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 28, 2020

$519M

$121M

n/a

2018

Jan 29, 2019

$472M

$113M

n/a

2017

Feb 23, 2018

$562M

$137M

n/a

2016

Jan 20, 2017

$523M

$95.6M

n/a

2015

Mar 4, 2016

$518M

$84.2M

n/a

2014

Mar 30, 2015

$67.6M

$63.9M

n/a

2013

Mar 26, 2014

$71.3M

n/a

2012

Mar 22, 2013

$60.2M

n/a

2011

Apr 2, 2012

$1.1B

$47.7M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$519M

$472M

9.9%

$523M

-0.3%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

ADVISORY CONSULTING GROUP LLC

Jul 6, 2020

Jan 31, 2018

DENVER, CO

Team lift out

Other

66.7%