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RIA / WealthAdvisorCertified Financial Planner17 years in industry

ADAM Steven BLUMBERG

Advisor at PROTOCOL WEALTH, LLC

DENVER, CO

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Search this name across graphsid dfx:ria:930055ec-32f5-7ac5-6fa5-e301be0d8a6f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 30, 2009 to Sep 14, 2026

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

Current firm: PROTOCOL WEALTH, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 19, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66|S65
First exam: May 19, 2009
First registration: Jun 30, 2009
Dual registered: no
Other names: ADAM S BLUMBERG
IAPD individual key: 5656102

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
PROTOCOL WEALTH, LLC	Independent wealth	Apr 12, 2025	n/a	yes	DENVER, CO\|DENVER, CO	Current employment
CHART WEALTH MANAGEMENT, LLC	n/a	Sep 18, 2017	Dec 31, 2020	no	HOUSTON, TX\|HOUSTON, TX\|HOUSTON, TX	Previous registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Nov 13, 2015	Sep 26, 2017	no	Bellaire, TX	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Jun 30, 2009	Nov 27, 2015	no	Houston, TX\|Houston, TX\|HOUSTON, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CHART WEALTH MANAGEMENT, LLC	PROTOCOL WEALTH, LLC	Dec 31, 2020	Apr 12, 2025	1,563	Firm change after gap	Other
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	CHART WEALTH MANAGEMENT, LLC	Sep 26, 2017	Sep 18, 2017	-8	Firm change	Other
MML INVESTORS SERVICES, LLC	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Nov 27, 2015	Nov 13, 2015	-14	Firm change	Other

Relationships

Registered with (4)

→ PROTOCOL WEALTH, LLCRegistered adviserregistration: current employment
Apr 12, 2025 to presentfactForm ADV
→ CHART WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Sep 18, 2017 to Dec 31, 2020factForm ADV
→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: previous registration
Nov 13, 2015 to Sep 26, 2017factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Jun 30, 2009 to Nov 27, 2015factForm ADV

Dated events

No dated event names this entity yet.