Douglas W. Aumont

ENTREWEALTH

Parker, CO

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CRD#: 6435395

Professional summary

Douglas William Aumont, AIF®, CFP®, who also goes by Doug William Aumont, Douglas William Aumont, is a registered financial advisor currently at ENTREWEALTH located in Parker, Colorado.

Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Douglas has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Doug William Aumont | Douglas William Aumont

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.

dba - BANDER Investments, Englewood, CO.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas William Aumont'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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Experience

Current

April 10, 2025 - Present

ENTREWEALTH

RIA

CRD#: 317553

Parker, CO

Past

October 13, 2020 - March 17, 2025

ARKADIOS WEALTH ADVISORS

RIA

CRD#: 288863

Greenwood Village, CO

Past

October 13, 2020 - March 17, 2025

ARKADIOS CAPITAL

CRD#: 282710

Denver, CO

Past

January 3, 2017 - October 14, 2020

SPC

RIA

CRD#: 110692

Idaho Falls, ID

Past

January 3, 2017 - October 14, 2020

PARKLAND SECURITIES, LLC

CRD#: 115368

IDAHO FALLS, ID

Past

July 6, 2016 - January 5, 2017

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

GREENWOOD VILLAGE, CO

Past

August 19, 2015 - January 4, 2017

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

GREENWOOD VILLAGE, CO

Past

April 27, 2015 - July 15, 2015

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

CENTENNIAL, 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".

ENTREWEALTH

ENTREWEALTH | SOCHA CAPITAL WEALTH STRATEGIES | SOCHA CAPITAL | ENTREWEALTH, LLC

CRD#: 317553 / SEC#: 801-130035

RIA

Registered Investment Advisory firm - (4/26/2024 Approved)

Texas

Registered Investment Advisory firm - (5/1/2024 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
(4/14/2025)

IAR

Texas
(4/10/2025)

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

Series 63

Date: 11/4/2014

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/30/2014

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/19/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/27/2015

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ENTREWEALTH

ENTREWEALTH | SOCHA CAPITAL WEALTH STRATEGIES | SOCHA CAPITAL | ENTREWEALTH, LLC

CRD#: 317553 / SEC#: 801-130035

RIA

Registered Investment Advisory firm - (4/26/2024 Approved)

Texas

Registered Investment Advisory firm - (5/1/2024 Terminated)

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Contact information

Main Address

1101 Quaker Ridge Dr, Austin, TX 78746

Mailing Address

701 S Capital Of Texas Hwy Ste D420-343, Austin, TX 78746

Phone number

(512) 240-2244

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A, PRIVACY NOTICE (5/21/2025)

Regulatory assets under management

Total Number of Accounts	522
AUM (Assets Under Management)	$ 222,597,035

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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Douglas W. Aumont

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas William Aumont's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARKADIOS WEALTH ADVISORS

ARKADIOS CAPITAL

SPC

PARKLAND SECURITIES, LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

Primary Firm SEC Registration

ENTREWEALTH

State Registrations and Notice Filings

Exams

Series 63

Date: 11/4/2014

Series 65

Date: 10/30/2014

SIE

Date: 10/1/2018

Series 7

Date: 8/19/2015

Series 6

Date: 4/27/2015

Current Firm

ENTREWEALTH

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ENTREWEALTH

TRUST BUT VERIFY

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