DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Financially Speaking Inc
Latest filing Mar 24, 2026
First filing on the tape Mar 23, 2012 · 20 filings
SEC status approved since Jun 6, 1991
RAUM
$165M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
100%
$165M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$165M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$165M as of Mar 24, 2026
Mar 23, 2012$98.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 24, 2026
Mar 23, 20120 then
Employees (5.A)5 as of Mar 24, 2026
Mar 12, 20135 then
Private funds: no history
RAUM +4.7% over the last fiscal year+3.3% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $165MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $276,946derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$165M100%
- Individual clients
- 295reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 595reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Philip Henry LuccockCertified Financial Planner | Greenwood Village, Co | Aug 18, 2025 | 42 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Peter Charles Johnson to Callahan Capital ManagementJun 25, 2015 · Other
- Kirsten Shonstrom Hollander to Schaefer Financial Management, Inc.Feb 23, 2007 · Other
Joined, latest
- Kirsten Shonstrom Hollander from Valic Financial Advisors, Inc.Mar 24, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Henry Philip Luccock · President/Chief Compliance Officercontrolsince 06/1991 · owns 75% or more
- Luccock Stacy Myers · Principal/Chief Financial Officercontrolsince 03/2004 · owns 10% to 25%
- James Daniel Luccock · Principalsince 01/2008 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 587 to 595Mar 25, 2025 to Mar 24, 2026
- Individual clients · 293 to 295Mar 25, 2025 to Mar 24, 2026
- Discretionary RAUM · $153M to $160MMar 25, 2025 to Mar 24, 2026
- Individual RAUM · $157M to $165MMar 25, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $4.3M to $4.4MMar 25, 2025 to Mar 24, 2026
- RAUM · $157M to $165MMar 25, 2025 to Mar 24, 2026
- Accounts · 609 to 587Oct 24, 2024 to Mar 25, 2025
- Financial planning clients · 101-250 to 101-250Oct 24, 2024 to Mar 25, 2025
- Discretionary RAUM · $158M to $153MOct 24, 2024 to Mar 25, 2025
- Individual RAUM · $162M to $157MOct 24, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $3.9M to $4.3MOct 24, 2024 to Mar 25, 2025
- RAUM · $162M to $157MOct 24, 2024 to Mar 25, 2025
- Accounts · 601 to 609Mar 21, 2023 to Mar 7, 2024
- Advisory employees · 2 to 3Mar 21, 2023 to Mar 7, 2024
- Individual clients · 296 to 293Mar 21, 2023 to Mar 7, 2024
- Employees · 4 to 5Mar 21, 2023 to Mar 7, 2024
- Discretionary RAUM · $147M to $158MMar 21, 2023 to Mar 7, 2024
- Individual RAUM · $150M to $162MMar 21, 2023 to Mar 7, 2024
- Non-discretionary RAUM · $2.9M to $3.9MMar 21, 2023 to Mar 7, 2024
- RAUM · $150M to $162MMar 21, 2023 to Mar 7, 2024
- Accounts · 563 to 601Aug 8, 2022 to Mar 21, 2023
- Advisory employees · 1 to 2Aug 8, 2022 to Mar 21, 2023
- Individual clients · 285 to 296Aug 8, 2022 to Mar 21, 2023
- Discretionary RAUM · $153M to $147MAug 8, 2022 to Mar 21, 2023
- Individual RAUM · $156M to $150MAug 8, 2022 to Mar 21, 2023
- Non-discretionary RAUM · $3.0M to $2.9MAug 8, 2022 to Mar 21, 2023
- RAUM · $156M to $150MAug 8, 2022 to Mar 21, 2023
- Accounts · 590 to 563Mar 31, 2021 to Mar 18, 2022
- Individual clients · 225 to 285Mar 31, 2021 to Mar 18, 2022
- Discretionary RAUM · $164M to $153MMar 31, 2021 to Mar 18, 2022
- Individual RAUM · $167M to $156MMar 31, 2021 to Mar 18, 2022
- Non-discretionary RAUM · $3.1M to $3.0MMar 31, 2021 to Mar 18, 2022
- RAUM · $167M to $156MMar 31, 2021 to Mar 18, 2022
- Accounts · 617 to 590May 18, 2020 to Mar 31, 2021
- Advisory activities · 4 to 3May 18, 2020 to Mar 31, 2021
- Individual clients · 215 to 225May 18, 2020 to Mar 31, 2021
- Discretionary RAUM · $152M to $164MMay 18, 2020 to Mar 31, 2021
- Individual RAUM · $153M to $167MMay 18, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $1.0M to $3.1MMay 18, 2020 to Mar 31, 2021
- RAUM · $153M to $167MMay 18, 2020 to Mar 31, 2021
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- speaking@financiallyspeakinginc.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 303-290-0702reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 303-290-6581reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- FINANCIALLYSPEAKINGINC.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 303-290-0702reportedpublic record, Form ADV, Mar 24, 2026
- Contact form
- financiallyspeakinginc.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- financiallyspeakinginc.com/teamreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $165Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026