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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

Scott Matthew Rose

Advisor at THRIVENT INVESTMENT MANAGEMENT INC.

GOLDEN VALLEY, MN | Greenwood Village, CO | Parker, CO

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Search this name across graphsid dfx:ria:110a0408-ccf1-c2da-3d2f-ff171c1af4d7

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Apr 22, 1999 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: THRIVENT INVESTMENT MANAGEMENT INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 9, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 5
Exams: S63|S65
First exam: Apr 9, 1999
First registration: Apr 22, 1999
Dual registered: yes, broker-dealer
Other names: SCOTT M ROSE|SCOTT MATTHEW ROSE|Scott Rose|SCOTT MATTHEW ROSE
IAPD individual key: 3198574

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
THRIVENT INVESTMENT MANAGEMENT INC.	Bd affiliated wealth	Jun 6, 2019	n/a	yes	GOLDEN VALLEY, MN\|Greenwood Village, CO\|Parker, CO	Current employment
SILVERHAWK ASSET MANAGEMENT, LLC	Former SEC adviser	Oct 10, 2017	May 31, 2019	no	SCOTTSDALE, AZ	Previous registration
INDEPENDENT FINANCIAL GROUP, LLC	Bd affiliated wealth	Apr 6, 2017	Jun 21, 2017	no	Englewood, CO	Previous registration
WADDELL & REED	Former SEC adviser	Apr 21, 2008	May 31, 2016	no	DENVER, CO\|BOULDER, CO\|DENVER, CO	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Mar 28, 2008	Apr 21, 2008	no	SCOTTSDALE, AZ	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Apr 22, 1999	Mar 19, 2008	no	PHOENIX, AZ\|SCOTTSDALE, AZ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SILVERHAWK ASSET MANAGEMENT, LLC	THRIVENT INVESTMENT MANAGEMENT INC.	May 31, 2019	Jun 6, 2019	6	Firm change	RIA to ibd
INDEPENDENT FINANCIAL GROUP, LLC	SILVERHAWK ASSET MANAGEMENT, LLC	Jun 21, 2017	Oct 10, 2017	111	Firm change	Other
WADDELL & REED	INDEPENDENT FINANCIAL GROUP, LLC	May 31, 2016	Apr 6, 2017	310	Firm change	Other
EQUITABLE ADVISORS, LLC	WADDELL & REED	Apr 21, 2008	Apr 21, 2008	0	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	EQUITABLE ADVISORS, LLC	Mar 19, 2008	Mar 28, 2008	9	Firm change	Ibd to ibd

Relationships

Registered with (6)

→ THRIVENT INVESTMENT MANAGEMENT INC.Registered adviserregistration: current employment
Jun 6, 2019 to presentfactForm ADV
→ SILVERHAWK ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
Oct 10, 2017 to May 31, 2019factForm ADV
→ INDEPENDENT FINANCIAL GROUP, LLCRegistered adviserregistration: previous registration
Apr 6, 2017 to Jun 21, 2017factForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
Apr 21, 2008 to May 31, 2016factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Mar 28, 2008 to Apr 21, 2008factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Apr 22, 1999 to Mar 19, 2008factForm ADV

Dated events

No dated event names this entity yet.