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AC

Adam F. Colby

THE WEALTH GROUP - AUSTIN B. COLBY & ASSOCIATES
FRANKLIN, TN 37067
Some features on this profile are disabled
CRD#: 6375439
AC

Professional summary

Adam Frank Colby, CIMA® is a registered financial advisor currently at THE WEALTH GROUP - AUSTIN B. COLBY & ASSOCIATES located in Franklin, Tennessee.

Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Adam has worked at 3 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.

top-8-questions

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.INDEPENDENT INSURANCE AGENT, INVESTMENT RELATED, EDEN PRAIRIE, MN, INSURANCE, AGENT, 1 HOUR PER MONTH, ALL DURING TRADING HOURS, INSURANCE SALES. 2. Name of Business : The Wealth Group Address: 14850 Scenic Heights Rd Ste 100,Eden Prairie, MN Nature of the Business: Support Company/DBA (Owner) Position/Title: Support Company/DBA (Owner) Investment Related:No Start Date: 01/01/2021 Hours per month devoted to this business: 160 Hours per month devoted to this business during trading hours: 140 Description of duties: CFO

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Frank Colby'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®
CIMA®

Certified Investment Management Analyst

Experience

Current

January 15, 2021 - Present

THE WEALTH GROUP - AUSTIN B. COLBY & ASSOCIATES

Office #1: 725 Cool Springs Boulevard Suite 445, Franklin, TN 37067
RIA
CRD#: 311385
FRANKLIN, TN
Past

October 30, 2014 - July 15, 2021

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
EDEN PRAIRIE, MN
Past

September 16, 2014 - July 15, 2021

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
EDEN PRAIRIE, MN

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".
TW
THE WEALTH GROUP - AUSTIN B. COLBY & ASSOCIATES
THE WEALTH GROUP - AUSTIN B. COLBY & ASSOCIATES | THE WEALTH GROUP, LTD

CRD#: 311385 / SEC#: 801-120158

RIA
Registered Investment Advisory firm - (1/14/2021 Approved)

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
Minnesota
(1/15/2021)
IAR
Tennessee
(9/29/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/28/2014
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/16/2014
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/5/2018
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 10/23/2017
General Securities Sales Supervisor - Options Module Examination

Current Firm

TW
THE WEALTH GROUP - AUSTIN B. COLBY & ASSOCIATES
THE WEALTH GROUP - AUSTIN B. COLBY & ASSOCIATES | THE WEALTH GROUP, LTD

CRD#: 311385 / SEC#: 801-120158

RIA
Registered Investment Advisory firm - (1/14/2021 Approved)
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Contact information

Main Address
14850 Scenic Heights Road Suite #100, Eden Prairie, MN 55344
Mailing Address
Phone number
(952) 937-9423
Established
Firm type
Fiscal year end
# of Employees
12

SEC notice filing (11 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

TWG WRAP BROCHURE (1/21/2025)
TWG ADV PART 2A (1/21/2025)

Regulatory assets under management

Total Number of Accounts2,419
AUM (Assets Under Management)$ 566,682,714

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.

Company Information

THE WEALTH GROUP - AUSTIN B. COLBY & ASSOCIATES

CRD#: 311385Franklin, TN 37067

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