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CRD 285507
CENTENNIAL, CO
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| DOUGLAS, DARLA, DUSTIN | CHIEF COMPLIANCE OFFICER | Na | yes | 03/2022 | Mar 17, 2022 | Sep 9, 2024 |
| GORE, JEFFREY, ARTHUR | Member | C | yes | 09/2016 | Dec 13, 2016 | Sep 9, 2024 |
| PAYNE, JEFFREY, DAVIN | Member | C | yes | 09/2016 | Dec 13, 2016 | Sep 9, 2024 |
| SORENSON, ERIK, CURTIS | Member | C | yes | 09/2016 | Dec 13, 2016 | Sep 9, 2024 |
| SPRAGUE, LLOYD, EVANS | Member | C | yes | 03/2024 | Mar 19, 2024 | Sep 9, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| OPTIMA FINANCIAL | n/a | n/a | n/a | Y | no | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| GREENWOOD VILLAGE | Co | United States | 7 | yes |
| Centennial | Co | United States | 6 | yes |
| Denver | Co | United States | 2 | yes |
| Basalt | Co | United States | 1 | yes |
| Centennial | Co | United States | 1 | yes |
| COLORADO SPRINGS | Co | United States | 1 | yes |
| Pueblo | Co | United States | 1 | yes |
| Price | Ut | United States | 1 | yes |
| n/a | n/a | n/a | 1 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2024 | Mar 12, 2025 | $1.4B | $1.4B | 48 | 26 | 10 | n/a | n/a |
| 2023 | Jan 24, 2024 | $1.1B | $1.0B | 33 | 21 | 6 | n/a | n/a |
| 2022 | Mar 2, 2023 | $880M | $808M | 36 | 22 | 8 | n/a | n/a |
| 2021 | Mar 17, 2022 | $983M | $877M | 36 | 21 | 9 | n/a | n/a |
| 2020 | Feb 25, 2021 | $759M | $664M | 35 | 20 | 8 | n/a | n/a |
| 2019 | Feb 25, 2020 | $573M | $503M | 28 | 18 | 13 | n/a | n/a |
| 2018 | Mar 21, 2019 | $438M | $390M | 28 | 18 | 8 | n/a | n/a |
| 2017 | Mar 28, 2018 | $323M | $323M | 10 | 10 | 4 | n/a | n/a |
| 2016 | Feb 9, 2017 | $115M | $115M | 10 | 10 | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 25 | -25 | n/a | 0 | 0 | 0 | 5 | 27 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2024 | $1.4B | $1.1B | 32.5% | $983M | 12.9% | 5 | 33 | 3 | 6 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | 2 | Feb 27, 2026 | Dec 1, 2025 | CENTENNIAL, CO | Team lift out | RIA to ibd | 50.0% |
| RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | 6 | Dec 1, 2025 | Dec 1, 2025 | CENTENNIAL, CO | Team lift out | RIA to ibd | 35.3% |
| WESTERN WEALTH MANAGEMENT LLC | 7 | Nov 19, 2025 | Dec 1, 2025 | CENTENNIAL, CO | Team lift out | RIA to RIA | 35.0% |
| OSAIC WEALTH, INC. | 5 | Nov 14, 2025 | Nov 14, 2025 | GREENWOOD VILLAGE, CO | Team lift out | RIA to ibd | 20.0% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| LPL FINANCIAL LLC | 2 | Nov 24, 2025 | Feb 3, 2025 | DENVER, CO | Team lift out | Ibd to RIA | 0.0% |
| EDWARD JONES | 2 | Mar 25, 2024 | Apr 11, 2024 | BASALT, CO | Team lift out | Ibd to RIA | 0.0% |
| LPL FINANCIAL LLC | 4 | Apr 25, 2017 | Jan 3, 2017 | DENVER, CO | Team lift out | Other | 0.1% |