DFX Intelligence

Data Factory

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

STRASBAUGH FINANCIAL ADVISORY, INC.

CRD 111672

COLORADO SPRINGS, 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:787f5ef3-c247-2b57-64d0-cf9cb05f04de

Data as of Mar 24, 2018 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 1
On other graphs: 0
Observed: Oct 29, 2013 to Mar 24, 2018
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: $159MItem 5.F on the latest filing (2018-03-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $159M
Private client RAUM: $159MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees: 4
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 681
Individual clients: 67
High net worth clients: 40
SEC number: 801-78767
CRD: 111672
Filings on the tape: 14
First filed: Oct 29, 2013
Latest filed: Mar 24, 2018
Organised: Corporation, 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
STRASBAUGH, RICHARD	VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER	C	yes	01/2003	Oct 29, 2013	Mar 24, 2018
STRASBAUGH, SUSAN, HODGES	President	D	yes	01/2003	Oct 29, 2013	Mar 24, 2018

Offices

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

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	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
2017	Mar 24, 2018	$159M	$159M	5	4	1	n/a	n/a
2016	Mar 15, 2017	$143M	$143M	5	4	n/a	n/a	n/a
2015	Mar 4, 2016	$135M	$135M	5	3	n/a	n/a	n/a
2014	Mar 13, 2015	$118M	$118M	4	3	n/a	n/a	n/a
2013	Mar 17, 2014	$103M	$103M	2	1	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
2017	$159M	$143M	10.5%	$118M	10.5%	5	5	1	n/a

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
BUCKINGHAM STRATEGIC WEALTH, LLC	3	May 14, 2018	May 14, 2018	COLORADO SPRINGS, CO	Firm absorbed	RIA to RIA	75.0%

Relationships

Controls (2)

← STRASBAUGH, SUSAN, HODGESOwnerPRESIDENT, ownership code D, individual
Oct 29, 2013 to presentfactForm ADV
← STRASBAUGH, RICHARDOwnerVICE PRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code C, individual
Oct 29, 2013 to presentfactForm ADV

Registered with (7)

← JENNIFER DAYLE GRAFFAdvisorregistration: previous registration
Jul 2, 2014 to May 15, 2018factForm ADV
← SUSAN HODGES STRASBAUGHAdvisorregistration: previous registration
Jan 1, 1999 to May 14, 2018factForm ADV
← ALYSSUM RENEE HODGES MALONEAdvisorregistration: previous registration
Apr 25, 2016 to May 14, 2018factForm ADV
← JAMIE LYNN SLAUGHTERAdvisorregistration: previous registration
Jul 11, 2014 to May 14, 2018factForm ADV
← BRIAN CURTIS KINNEYAdvisorregistration: previous registration
Sep 24, 2015 to Nov 30, 2015factForm ADV
← STEPHEN PAUL WEATHERBYAdvisorregistration: previous registration
May 22, 2007 to Nov 4, 2008factForm ADV
← MARY REID ALPERSAdvisorregistration: previous registration
Mar 18, 2004 to Aug 5, 2004factForm ADV

Moved with (1)

→ BUCKINGHAM STRATEGIC WEALTH, LLCRegistered adviser3 advisors, firm absorbed, same day
May 14, 2018 to May 14, 2018factForm ADV

Dated events

Occurred
Oct 29, 2013
First Form ADV filing
Strasbaugh Financial Advisory, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 3 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:787f5ef3-c247-2b57-64d0-cf9cb05f04de
First observed: Oct 29, 2013
Last observed: Mar 24, 2018 103 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.

STRASBAUGH FINANCIAL ADVISORY, INC.

CRD 111672

COLORADO SPRINGS, 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:787f5ef3-c247-2b57-64d0-cf9cb05f04de

Data as of Mar 24, 2018 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:03 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

STRASBAUGH, RICHARD

VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER

yes

01/2003

Oct 29, 2013

Mar 24, 2018

STRASBAUGH, SUSAN, HODGES

President

yes

01/2003

Oct 29, 2013

Mar 24, 2018

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 24, 2018

$159M

n/a

2016

Mar 15, 2017

$143M

n/a

2015

Mar 4, 2016

$135M

n/a

2014

Mar 13, 2015

$118M

n/a

2013

Mar 17, 2014

$103M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$159M

$143M

10.5%

$118M

10.5%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

BUCKINGHAM STRATEGIC WEALTH, LLC

May 14, 2018

COLORADO SPRINGS, CO

Firm absorbed

RIA to RIA

75.0%