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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

TRACI LYNN SARMIENTO

Advisor at GILL CAPITAL PARTNERS

DENVER, CO

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Search this name across graphsid dfx:ria:4a9756e7-4673-b6e0-421b-10c3a4ebdb60

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: May 16, 2002 to Sep 14, 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: GILL CAPITAL PARTNERS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 15, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: May 15, 2002
First registration: May 16, 2002
Dual registered: yes, broker-dealer
Other names: TRACI LYNN HORAN
IAPD individual key: 3187072

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
GILL CAPITAL PARTNERS	Independent wealth	Mar 20, 2019	n/a	yes	DENVER, CO\|DENVER, CO	Current employment
CHERRY STREET PARTNERS	Former SEC adviser	Jan 1, 2016	Dec 31, 2019	no	DENVER, CO	Previous registration
CURIAN CAPITAL, LLC	Former SEC adviser	Dec 16, 2013	Oct 13, 2014	no	DENVER, CO	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Nov 12, 2007	Nov 21, 2013	no	DENVER, CO\|DENVER, CO	Previous registration
CAPWEST SECURITIES, INC.	n/a	Jan 3, 2007	Nov 13, 2007	no	GREELEY, CO	Previous registration
COBIZ WEALTH	Former SEC adviser	Aug 8, 2006	Feb 14, 2007	no	DENVER, CO	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	May 16, 2002	Jun 6, 2006	no	DENVER, CO	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
CHERRY STREET PARTNERS	GILL CAPITAL PARTNERS	Dec 31, 2019	Mar 20, 2019	-286	Firm change after gap	RIA to RIA
CURIAN CAPITAL, LLC	CHERRY STREET PARTNERS	Oct 13, 2014	Jan 1, 2016	445	Firm change after gap	Other
CITIGROUP GLOBAL MARKETS INC.	CURIAN CAPITAL, LLC	Nov 21, 2013	Dec 16, 2013	25	Firm change	Other
CAPWEST SECURITIES, INC.	CITIGROUP GLOBAL MARKETS INC.	Nov 13, 2007	Nov 12, 2007	-1	Firm change	Other
COBIZ WEALTH	CAPWEST SECURITIES, INC.	Feb 14, 2007	Jan 3, 2007	-42	Firm change after gap	Other
WELLS FARGO INVESTMENTS, LLC	COBIZ WEALTH	Jun 6, 2006	Aug 8, 2006	63	Firm change	Other

Relationships

Registered with (7)

→ GILL CAPITAL PARTNERSRegistered adviserregistration: current employment
Mar 20, 2019 to presentfactForm ADV
→ CHERRY STREET PARTNERSRegistered adviserregistration: previous registration
Jan 1, 2016 to Dec 31, 2019factForm ADV
→ CURIAN CAPITAL, LLCRegistered adviserregistration: previous registration
Dec 16, 2013 to Oct 13, 2014factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Nov 12, 2007 to Nov 21, 2013factForm ADV
→ CAPWEST SECURITIES, INC.Registered adviserregistration: previous registration
Jan 3, 2007 to Nov 13, 2007factForm ADV
→ COBIZ WEALTHRegistered adviserregistration: previous registration
Aug 8, 2006 to Feb 14, 2007factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
May 16, 2002 to Jun 6, 2006factForm ADV

Dated events

No dated event names this entity yet.