Dilish C. Dudhia

ASPEN FINANCIAL MANAGEMENT

Arlington, TX

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CRD#: 2948273

Professional summary

Dilish Champakial Dudhia is a registered financial advisor currently at ASPEN FINANCIAL MANAGEMENT, INC. located in Arlington, Texas.

Dilish is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Dilish has worked at 4 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dilish Champakial Dudhia's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 10, 2005 - Present

ASPEN FINANCIAL MANAGEMENT, INC.

RIA

CRD#: 116149

Arlington, TX

Past

February 17, 1998 - April 14, 1999

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

November 6, 1997 - January 21, 1998

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

November 6, 1997 - January 21, 1998

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(2/10/2005)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 11/11/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/5/1997

General Securities Representative Examination

Current Firm

ASPEN FINANCIAL MANAGEMENT, INC.

CRD#: 116149 / SEC#: 801-68988

RIA

Registered Investment Advisory firm - (6/27/2012 Terminated)

Florida

Registered Investment Advisory firm - (6/20/2012 Approved)

Indiana

Registered Investment Advisory firm - (10/1/2013 Terminated)

Kentucky

Registered Investment Advisory firm - (6/26/2018 Terminated)

Nevada

Registered Investment Advisory firm - (12/1/2014 Terminated)

New Mexico

Registered Investment Advisory firm - (5/23/2012 Approved)

Texas

Registered Investment Advisory firm - (5/25/2012 Approved)

Washington

Registered Investment Advisory firm - (6/7/2022 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Cheney, WA

Mailing Address

Phone number

(509) 414-6060

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	98
AUM (Assets Under Management)	$ 19,752,837

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Dilish C. Dudhia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dilish Champakial Dudhia's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASPEN FINANCIAL MANAGEMENT, INC.

FIDELITY BROKERAGE SERVICES LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/11/1997

Series 7

Date: 11/5/1997

Current Firm

ASPEN FINANCIAL MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ASPEN FINANCIAL MANAGEMENT, INC.

TRUST BUT VERIFY

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