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
Fpfoco
Legal name Financial Planning Fort Collins, LLC
Latest filing Mar 23, 2026
First filing on the tape Jul 1, 2024 · 7 filings
SEC status approved since Aug 2, 2024
RAUM
$152M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$152M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$50.6M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$152M as of Mar 23, 2026
Feb 13, 2025$110M then
HNW client RAUM$112M as of Mar 23, 2026
Feb 13, 2025$78.1M then
State-registered IARs (5.B.3)3 as of Mar 23, 2026
Feb 13, 20253 then
Employees (5.A)4 as of Mar 23, 2026
Feb 13, 20254 then
Private funds: no history
RAUM +38% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $50.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $322,081derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +38%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $25.1M, 32 clientsreportedItem 9.A
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$112M74%
- Individuals$40.1M26%
- Individual clients
- 78reported
- HNW clients
- 41reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 471reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $25.1M for 32 clientsreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Regina Marie NeenanCertified Financial Planner | Fort Collins, Co | Oct 3, 2019 | 11 y | 0 |
| Jason Samuel SpecinerCertified Financial Planner | Fort Collins, Co | Mar 1, 2021 | 22 y | 3 |
| Riley John ThoubboronCertified Financial Planner | Bend, Or | Dec 19, 2023 | 10 y | 3 |
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
none on the tape
Joined, latest
- Riley John Thoubboron from The Millstone Evans Group, LLCDec 19, 2023 · RIA to RIA
- Jason Samuel Speciner from Cambridge Investment Research Advisors, Inc.Mar 1, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Samuel Jason Speciner · President / Cco / Iarcontrolsince 11/2014 · owns 75% or more
- Marie Regina Neenan · Voting Member, Shareholdersince 03/2021 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Fort Collins, Co · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 23, 2026RAUM (Item 5.F) moved from $109,992,216 to $151,700,000 (+38.0%) between the annual amendments of 2025-02-13 and 2026-03-23; the peer median change was +15.0% (4551 comparable advisers, 92.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,551) · 92% percentile
What changed
consecutive filings, newest first
- Accounts · 436 to 471Oct 20, 2025 to Mar 23, 2026
- HNW clients · 38 to 41Oct 20, 2025 to Mar 23, 2026
- Individual clients · 77 to 78Oct 20, 2025 to Mar 23, 2026
- Assets in custody · $13.2M to $25.1MOct 20, 2025 to Mar 23, 2026
- Discretionary RAUM · $109M to $150MOct 20, 2025 to Mar 23, 2026
- HNW RAUM · $78.1M to $112MOct 20, 2025 to Mar 23, 2026
- Individual RAUM · $31.9M to $40.1MOct 20, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $1.3M to $1.5MOct 20, 2025 to Mar 23, 2026
- RAUM · $110M to $152MOct 20, 2025 to Mar 23, 2026
- Accounts · 404 to 436Oct 24, 2024 to Feb 13, 2025
- HNW clients · 33 to 38Oct 24, 2024 to Feb 13, 2025
- Individual clients · 73 to 77Oct 24, 2024 to Feb 13, 2025
- Assets in custody · $12.9M to $13.2MOct 24, 2024 to Feb 13, 2025
- Employees · 3 to 4Oct 24, 2024 to Feb 13, 2025
- Financial planning clients · 101-250 to 101-250Oct 24, 2024 to Feb 13, 2025
- Discretionary RAUM · $100M to $109MOct 24, 2024 to Feb 13, 2025
- HNW RAUM · $71.4M to $78.1MOct 24, 2024 to Feb 13, 2025
- Individual RAUM · $30.1M to $31.9MOct 24, 2024 to Feb 13, 2025
- Non-discretionary RAUM · $1.2M to $1.3MOct 24, 2024 to Feb 13, 2025
- RAUM · $101M to $110MOct 24, 2024 to Feb 13, 2025
- Business name · FINANCIAL PLANNING FORT COLLINS to FPFOCOJul 1, 2024 to Jul 2, 2024
- Legal name · FORT COLLINS TAX SERVICE, LLC to FINANCIAL PLANNING FORT COLLINS, LLCJul 1, 2024 to Jul 1, 2024
Signals
1 dated events
- Financial Planning Fort Collins filed its initial SEC registration (Form ADV)Jul 1, 2024 · First SEC registration · fact
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 phone
- 970-225-0504reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/FPFOCOreportedpublic record, Form ADV, Sep 17, 2026
- Website
- FINANCIALPLANNINGFORTCOLLINS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 970-225-0504reportedpublic record, Form ADV, Mar 23, 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
- $50.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026