AG
Alan D. Goodman
MAIA WEALTH
DENVER, CO 80202
Some features on this profile are disabled
CRD#: 6247658
AG
Professional summary
Alan David Goodman is a registered financial advisor currently at MAIA WEALTH located in Denver, Colorado.
Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Alan has worked at 3 firms and has passed the Series 65 exam.
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.
1.) UNIVERSITY OF COLORADO BOULDER; NOT INVESTMENT RELATED; 1111 ENGINEERING DRIVE, BOULDER, CO 80309; EDUCATIONAL INSTITUTION; INDUSTRY LIAISON; APRIL 2014 START DATE; 10 HRS PER MONTH DEVOTED; 0 HRS PER MONTH DEVOTED DURING SECURITIES TRADING HOURS; MANAGE RELATIONSHIPS BETWEEN THE ENGINEERING DEPARTMENTS AND THE INDUSTRY. 2.) CLEAR CREEK ASSET MANAGEMENT LLC; NOT INVESTMENT RELATED; PRIVATE RESIDENCE; PASS THROUGH ENTITY FOR INVESTMENT ADVISORY REVENUE AND RELATED BUSINESS EXPENSES; MEMBER AND SOLE OWNER; OCTOBER 17, 2013 START DATE; 1 HOURS PER MONTH DEVOTED; 1 HOURS PER MONTH DEVOTED DURING SECURITIES TRADING HOURS; RESPONSIBLE FOR PERFORMING ALL DUTIES NECESSARY TO OPERATE THE ENTITY. INSURANCE AGENT. VARIOUS CARRIERS. NOT INVESTMENT RELATED. TRADING HOURS TIME SPENT= 15 HOURS PER MONTH
CRS (Client Relationship Summary) - RIA
Click below to view Alan David Goodman'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®
NoneExperience
Current
December 5, 2023 - Present
MAIA WEALTH
Office #1: 1401 17th Street Suite 850, Denver, CO 80202RIA
CRD#: 292817
DENVER, CO
Past
May 7, 2018 - January 9, 2024
WEALTHSOURCE®
RIA
CRD#: 282202
LOUISVILLE, CO
Past
September 26, 2013 - May 4, 2018
CHROME ASSET MANAGEMENT
RIA
CRD#: 151930
DENVER, CO
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".
MW
MAIA WEALTH
COOKIE WEALTH | WHITE BISON WEALTH MANAGEMENT, LLC | SILVEROAK | PHYXIUS FINANCIAL | PATHWAY ADVISORS GROUP | MIEDEMA WEALTH | MANA FINANCIAL GROUP | MAIA WEALTH, LLC | MAIA WEALTH | INTEGRATED FINANCIAL ARCHITECTS | HOFKIN CAPITAL MANAGEMENT
CRD#: 292817 / SEC#: 801-120452
RIA
Registered Investment Advisory firm - (3/5/2021 Approved)California
Registered Investment Advisory firm - (6/6/2021 Terminated)Colorado
Registered Investment Advisory firm - (5/7/2021 Terminated)Texas
Registered Investment Advisory firm - (5/7/2021 Terminated)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(12/5/2023)
IAR
Texas(12/5/2023)
Current Firm
MW
MAIA WEALTH
COOKIE WEALTH | WHITE BISON WEALTH MANAGEMENT, LLC | SILVEROAK | PHYXIUS FINANCIAL | PATHWAY ADVISORS GROUP | MIEDEMA WEALTH | MANA FINANCIAL GROUP | MAIA WEALTH, LLC | MAIA WEALTH | INTEGRATED FINANCIAL ARCHITECTS | HOFKIN CAPITAL MANAGEMENT
CRD#: 292817 / SEC#: 801-120452
RIA
Registered Investment Advisory firm - (3/5/2021 Approved)California
Registered Investment Advisory firm - (6/6/2021 Terminated)Colorado
Registered Investment Advisory firm - (5/7/2021 Terminated)Texas
Registered Investment Advisory firm - (5/7/2021 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1401 17th Street Suite 850, Denver, CO 80202
Mailing Address
Phone number
(720) 644-8803
Established
Firm type
Fiscal year end
# of Employees
44
SEC notice filing (38 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,445 |
| AUM (Assets Under Management) | $ 704,344,811 |
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.
