SourcingSourcing

FINANCIALLY SPEAKING INC

A80
CRD 106255·SEC 801-38948·GREENWOOD VILLAGE, CO
AUM
$164.8M
$100M-$500M
Est. Revenue
$1.6M
@ 1% on AUM
Est. EBITDA
$494K
@ 30% margin
Est. Deal Value
$4.0M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
FINANCIALLY SPEAKING INC
CRD
106255
SEC file #
801-38948
EIN
841158352
DBA names
—

Economics

AUM
$164.8M
AUM band
$100M-$500M
AUM trajectory
'20'26
$146.3M → $164.8M▲ +13%
Client mix
Individuals Other295

Operations

Employees (total)
5
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'20'26
1 advisors → 3 advisors▲ +200%
Primary office
GREENWOOD VILLAGE CO
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Financial planningPortfolio mgmt — individualsEducational Seminars Workshops
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
03/24/2026
ADV-W filed at
—
Website
financiallyspeakinginc.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
LUCCOCK, PHILIP, HENRY
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
3
Control Persons
LUCCOCK, PHILIP, HENRY
MYERS, STACY, LUCCOCK
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
FINANCIALLYSPEAKINGINC.COM
Rdap Domain Creation Date
2004-12-08T22:54:38Z
Rdap Firm Age Years
22
Rdap Firm Age Band
20+y
Rdap Registrar
Register.com - Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0002040901
Edgar Registered
Yes
Edgar Filing Count
7
Edgar First Filing Date
2025-02-11
Edgar Last Filing Date
2026-04-07
Edgar 13f Count
6
Edgar 13f Latest AUM Estimate
Filing Date2026-04-07
Accession0002040901-26-000002

Compliance & brand

Firm Registration Status
active

All other collected signals (17)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
1
Bc Firm IAR Count
1
Custodian Candidates
Full
E*trade4
Edgar Addresses
Mailing
5889 GREENWOOD PLAZA BLVD.SUITE 400GREENWOOD VILLAGE, CO 80111
Business
5889 GREENWOOD PLAZA BLVD.SUITE 400GREENWOOD VILLAGE, CO 80111
Edgar EIN
841158352
Edgar Recent Filings
13F-HR2026-04-07 · 0002040901-26-000002
13F-HR2026-02-10 · 0001398344-26-002600
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2028-12-08T22:54:38Z
Rdap Domain Last Changed
2025-11-08T07:31:38Z
Rdap Nameservers
Ns1.digitalocean.comNs2.digitalocean.comNs3.digitalocean.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Top Owner CRD
1212096
Trust Company Affiliate
No

People (3)

3
LUCCOCK, PHILIP, HENRY
IAR · Direct Owner · 87.5%
1212096
MYERS, STACY, LUCCOCK
Direct Owner · 17.5%
4930086
LUCCOCK, DANIEL, JAMES
Direct Owner · 17.5%
5504489