Vincent L. Otterbein

COLORADO CAPITAL MANAGEMENT

Sarasota, FL

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CRD#: 6975626

Professional summary

Vincent Leon Otterbein, CFP® is a registered financial advisor currently at COLORADO CAPITAL MANAGEMENT located in Sarasota, Florida.

Vincent is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Vincent has worked at 2 firms and has passed the Series 65, Series 63, SIE 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 Vincent Leon Otterbein'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

Experience

Current

May 11, 2020 - Present

COLORADO CAPITAL MANAGEMENT

RIA

CRD#: 114011

Sarasota, FL

Past

October 19, 2018 - September 17, 2019

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Lone Tree, 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".

COLORADO CAPITAL MANAGEMENT

COLORADO CAPITAL MANAGEMENT | COLORADO CAPITAL MANAGEMENT, INC.

CRD#: 114011 / SEC#: 801-60868

RIA

Registered Investment Advisory firm - (2/1/2002 Approved)

Colorado

Registered Investment Advisory firm - (11/18/2002 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
(5/11/2020)

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: 5/9/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/12/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/20/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/19/2018

General Securities Representative Examination

Current Firm

COLORADO CAPITAL MANAGEMENT

COLORADO CAPITAL MANAGEMENT | COLORADO CAPITAL MANAGEMENT, INC.

CRD#: 114011 / SEC#: 801-60868

RIA

Registered Investment Advisory firm - (2/1/2002 Approved)

Colorado

Registered Investment Advisory firm - (11/18/2002 Terminated)

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Contact information

Main Address

4430 Arapahoe Avenue, Suite 120, Boulder, CO 80303-1100

Mailing Address

Phone number

(303) 444-9300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (7/14/2025)

Regulatory assets under management

Total Number of Accounts	1,126
AUM (Assets Under Management)	$ 560,325,709

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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Vincent L. Otterbein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vincent Leon Otterbein's CRS (Customer Relationship Summary).

Certified licenses

Experience

COLORADO CAPITAL MANAGEMENT

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

COLORADO CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 5/9/2020

Series 63

Date: 11/12/2018

SIE

Date: 10/20/2018

Series 7

Date: 10/19/2018

Current Firm

COLORADO CAPITAL MANAGEMENT

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COLORADO CAPITAL MANAGEMENT

TRUST BUT VERIFY

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