Courtney M. Ringlein

ASPEN GROVE CAPITAL

Avon, CO 81620

Some features on this profile are disabled

CRD#: 7699501

Professional summary

Courtney Marie Ringlein is a registered financial advisor currently at ASPEN GROVE CAPITAL, LLC located in Avon, Colorado.

Courtney is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Courtney has worked at 1 firm 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Courtney Marie Ringlein'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®

None

Experience

Current

May 20, 2023 - Present

ASPEN GROVE CAPITAL, LLC

Office #1: 90 Benchmark Road Suite 201, Avon, CO 81620

RIA

CRD#: 158166

Avon, 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".

ASPEN GROVE CAPITAL, LLC

CRD#: 158166 / SEC#: 801-78138

RIA

Registered Investment Advisory firm - (5/31/2013 Approved)

Colorado

Registered Investment Advisory firm - (6/20/2013 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
(5/20/2023)

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: 5/19/2023

Uniform Investment Adviser Law Examination

Current Firm

ASPEN GROVE CAPITAL, LLC

CRD#: 158166 / SEC#: 801-78138

RIA

Registered Investment Advisory firm - (5/31/2013 Approved)

Colorado

Registered Investment Advisory firm - (6/20/2013 Terminated)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

90 Benchmark Road Suite 201, Avon, CO 81620

Mailing Address

P.o. Box 9389, Avon, CO 81620

Phone number

(970) 688-4188

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,970
AUM (Assets Under Management)	$ 5,801,564,475

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/15/2025	Cover Page	Report
11/13/2024	Cover Page	Report
12/11/2023	Cover Page	Report
09/21/2022	Cover Page	Report

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.

Similar Advisors

Albert Gonzalez

LPL FINANCIAL LLC

IAR

Dripping Springs, TX

Adam Tabak

LPL FINANCIAL LLC

IAR

EDINBURG, TX

Justin Brillhart

COMMONWEALTH FINANCIAL NETWORK

IAR

Hanover, PA

Why AdvisorCheck

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Courtney M. Ringlein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Courtney Marie Ringlein's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASPEN GROVE CAPITAL, LLC

Primary Firm SEC Registration

ASPEN GROVE CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/19/2023

Current Firm

ASPEN GROVE CAPITAL, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ASPEN GROVE CAPITAL, LLC

TRUST BUT VERIFY

Similar Advisors