Adam Blocki, CFP | Financial Professional | Pagosa Springs, Colorado

Professional summary

Adam Blocki, CFP®, who also goes by Adam Michael Blocki, Adam Blocki, is a registered financial advisor currently at ARAX ADVISORY PARTNERS located in Pagosa Springs, Colorado.

Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Adam has worked at 7 firms and has passed the Series 65, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Adam Michael Blocki | Adam Blocki

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.

1) 10/2022 - Lake Pagosa Townhomes Board - Non-Investment Related

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Blocki's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2019

Experience

Current

June 18, 2025 - Present

ARAX ADVISORY PARTNERS

RIA

CRD#: 133535

Pagosa Springs, CO

Past

June 12, 2023 - July 11, 2025

SCHECHTER INVESTMENT ADVISORS, LLC

RIA

CRD#: 169114

Pagosa Springs, CO

Past

September 23, 2021 - June 8, 2023

LPL FINANCIAL LLC

RIA

CRD#: 6413

PAGOSA SPRINGS, CO

Past

September 23, 2021 - June 8, 2023

LPL FINANCIAL LLC

BD

CRD#: 6413

PAGOSA SPRINGS, CO

Past

May 27, 2021 - September 23, 2021

SIGMA FINANCIAL CORPORATION

BD

CRD#: 14303

Pagosa Springs, CO

Past

March 5, 2021 - September 23, 2021

SPC

RIA

CRD#: 110692

Pagosa Springs, CO

Past

January 31, 2020 - March 10, 2021

CAITLIN JOHN, LLC

RIA

CRD#: 154494

Denver, CO

Past

August 2, 2017 - March 10, 2021

A SMARTER WAY TO INVEST, INC.

RIA

CRD#: 166170

BRIGHTON, MI

Past

August 2, 2016 - August 3, 2017

SIGMA FINANCIAL CORPORATION

BD

CRD#: 14303

WATERFORD, MI

Past

July 21, 2016 - August 3, 2017

SPC

RIA

CRD#: 110692

waterford, MI

Past

April 26, 2013 - November 4, 2015

A SMARTER WAY TO INVEST, INC.

RIA

CRD#: 166170

BRIGHTON, MI

Past

July 13, 2011 - November 4, 2015

CAITLIN JOHN, LLC

RIA

CRD#: 154494

BRIGHTON, MI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

AA

ARAX ADVISORY PARTNERS

CRD#: 133535 / SEC#: 801-67165

RIA

Registered Investment Advisory firm - (9/20/2006 Approved)

California

Registered Investment Advisory firm - (10/18/2006 Terminated)

Colorado

Registered Investment Advisory firm - (11/14/2006 Terminated)

Georgia

Registered Investment Advisory firm - (5/24/2012 Terminated)

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).

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

Colorado
(6/18/2025)

IAR

Texas
(6/18/2025)

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

IAR

Series 65

Date: 7/11/2011

Uniform Investment Adviser Law Examination

General Industry/Product Exam

RR

Series 7TO

Date: 5/27/2021

General Securities Representative Examination

General Industry/Product Exam

RR

SIE

Date: 8/3/2017

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 8/2/2016

General Securities Representative Examination

Current Firm

AA

ARAX ADVISORY PARTNERS

CRD#: 133535 / SEC#: 801-67165

RIA

Registered Investment Advisory firm - (9/20/2006 Approved)

California

Registered Investment Advisory firm - (10/18/2006 Terminated)

Colorado

Registered Investment Advisory firm - (11/14/2006 Terminated)

Georgia

Registered Investment Advisory firm - (5/24/2012 Terminated)

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

730 17th Street Suite 107, Denver, CO 80202

Mailing Address

Phone number

(303) 633-5900

Established

Firm type

Fiscal year end

# of Employees

106

SEC notice filing (34 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AAP FORM ADV PART 2A 11172025 (11/17/2025)

Regulatory assets under management

Total Number of Accounts	16,559
AUM (Assets Under Management)	$ 8,960,126,874

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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

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Advisor Monitoring

Firm Stability Insights

Adam Blocki

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Blocki's CRS (Customer Relationship Summary).

Certified licenses

Experience

SCHECHTER INVESTMENT ADVISORS, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

SIGMA FINANCIAL CORPORATION

SPC

CAITLIN JOHN, LLC

A SMARTER WAY TO INVEST, INC.

SIGMA FINANCIAL CORPORATION

SPC

A SMARTER WAY TO INVEST, INC.

CAITLIN JOHN, LLC

Primary Firm SEC Registration

ARAX ADVISORY PARTNERS

State Registrations and Notice Filings

Exams

Series 65

Date: 7/11/2011

Series 7TO

Date: 5/27/2021

SIE

Date: 8/3/2017

Series 7

Date: 8/2/2016

Current Firm

ARAX ADVISORY PARTNERS

Contact information

SEC notice filing (34 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARAX ADVISORY PARTNERS

TRUST BUT VERIFY

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