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

FINANCIAL DESIGN & MANAGEMENT, INC.

CRD 113387

FORT COLLINS, 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:bab38d2a-8ee2-2ad9-b737-a816dac786f7

Data as of Apr 2, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 0
On other graphs: 0
Observed: Nov 8, 2011 to Apr 2, 2020
19 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: $205MItem 5.F on the latest filing (2020-04-02); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $205M
Private client RAUM: $199MderivedItem 5.D individuals plus high net worth individuals
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees: 7
Offices: 3Schedule D 1.F, beyond the principal office
Accounts: 611
Individual clients: 359
High net worth clients: 97
Custody, client assets: $205M
SEC number: 801-63233
CRD: 113387
Filings on the tape: 19
First filed: Nov 8, 2011
Latest filed: Apr 2, 2020
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
KORNBLAU, DONNA, N	SECRETARY/TREASURER	Na	yes	09/1988	Nov 8, 2011	Apr 2, 2020
KORNBLAU, MARK, LEWIS	PRESIDENT, CHIEF INVESTMENT OFFICER & CHIEF COMPLIANCE OFFICER	E	yes	09/1988	Nov 8, 2011	Apr 2, 2020

Offices

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

City	State	Country	Employees	Also broker-dealer
Erie	Co	United States	1	no
GREENWOOD VILLAGE	Co	United States	1	no
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
2019	Apr 2, 2020	$205M	$205M	7	7	3	n/a	n/a
2018	Mar 14, 2019	$176M	$176M	7	7	3	n/a	n/a
2017	Mar 26, 2018	$206M	$206M	7	7	3	n/a	n/a
2016	Mar 31, 2017	$197M	$197M	7	7	n/a	n/a	n/a
2015	Mar 22, 2016	$181M	$181M	7	7	n/a	n/a	n/a
2014	Mar 19, 2015	$189M	$189M	7	7	n/a	n/a	n/a
2013	Mar 31, 2014	$182M	$182M	7	7	n/a	n/a	n/a
2012	Apr 1, 2013	$163M	$163M	7	7	n/a	n/a	n/a
2011	Mar 29, 2012	$111M	$111M	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	$205M	$176M	16.2%	$197M	1.4%	7	7	3	3

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
GENEOS WEALTH MANAGEMENT, INC.	3	May 29, 2020	Mar 19, 2013	FORT COLLINS, CO	Firm absorbed	RIA to ibd	60.0%

Relationships

Controls (2)

← KORNBLAU, MARK, LEWISOwnerPRESIDENT, CHIEF INVESTMENT OFFICER & CHIEF COMPLIANCE OFFICER, ownership code E, individual
Nov 8, 2011 to presentfactForm ADV
← KORNBLAU, DONNA, NOwnerSECRETARY/TREASURER, ownership code NA, individual
Nov 8, 2011 to presentfactForm ADV

Registered with (10)

← WILLIAM CHARLES REYNOLDSAdvisorregistration: previous registration
Jun 24, 2009 to Jun 5, 2020factForm ADV
← CINDY MARKER HEGYAdvisorregistration: previous registration
Oct 30, 2008 to May 29, 2020factForm ADV
← DAVID ARTHUR ASBURYAdvisorregistration: previous registration
Jan 1, 1999 to May 29, 2020factForm ADV
← LAWRENCE PAUL FINCHAdvisorregistration: previous registration
Apr 17, 2008 to May 29, 2020factForm ADV
← JOHN HARDESTY ALPERSAdvisorregistration: previous registration
Apr 17, 2008 to May 29, 2020factForm ADV
← CHRISTOPHER STEPHEN SCOTTAdvisorregistration: previous registration
Apr 17, 2008 to Aug 23, 2012factForm ADV
← PATRICK EARL MCKIMAdvisorregistration: previous registration
Jun 18, 2008 to Jul 28, 2011factForm ADV
← SCOTT WALTER FORSYTHAdvisorregistration: previous registration
Apr 17, 2008 to Jul 28, 2011factForm ADV
← PAUL MICHAEL SORACIAdvisorregistration: previous registration
Jan 1, 1999 to Dec 3, 2008factForm ADV
← PHILLIP BRIDGER PARSONSAdvisorregistration: previous registration
Dec 15, 2000 to Dec 3, 2008factForm ADV

Moved with (1)

→ GENEOS WEALTH MANAGEMENT, INC.Registered adviser3 advisors, firm absorbed
May 29, 2020 to Mar 19, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bab38d2a-8ee2-2ad9-b737-a816dac786f7
First observed: Nov 8, 2011
Last observed: Apr 2, 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.

FINANCIAL DESIGN & MANAGEMENT, INC.

CRD 113387

FORT COLLINS, 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:bab38d2a-8ee2-2ad9-b737-a816dac786f7

Data as of Apr 2, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:03 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

KORNBLAU, DONNA, N

SECRETARY/TREASURER

yes

09/1988

Nov 8, 2011

Apr 2, 2020

KORNBLAU, MARK, LEWIS

PRESIDENT, CHIEF INVESTMENT OFFICER & CHIEF COMPLIANCE OFFICER

yes

09/1988

Nov 8, 2011

Apr 2, 2020

City

State

Country

Employees

Also broker-dealer

Erie

United States

GREENWOOD VILLAGE

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Apr 2, 2020

$205M

n/a

2018

Mar 14, 2019

$176M

n/a

2017

Mar 26, 2018

$206M

n/a

2016

Mar 31, 2017

$197M

n/a

2015

Mar 22, 2016

$181M

n/a

2014

Mar 19, 2015

$189M

n/a

2013

Mar 31, 2014

$182M

n/a

2012

Apr 1, 2013

$163M

n/a

2011

Mar 29, 2012

$111M

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

$205M

$176M

16.2%

$197M

1.4%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

GENEOS WEALTH MANAGEMENT, INC.

May 29, 2020

Mar 19, 2013

FORT COLLINS, CO

Firm absorbed

RIA to ibd

60.0%