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RIA / WealthAdvisor23 years in industry

DEREK NATHAN EICHENWALD

Advisor at TRIUMPH CAPITAL MANAGEMENT

DENVER, CO

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Search this name across graphsid dfx:ria:8c3670be-21f6-cf6e-70ae-15074e9e8fcd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Jul 24, 2003 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: TRIUMPH CAPITAL MANAGEMENT
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: Jul 23, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jul 23, 2003
First registration: Jul 24, 2003
Dual registered: no
Other names: DEREK N EICHENWALD
IAPD individual key: 4613771

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
TRIUMPH CAPITAL MANAGEMENT	Independent wealth	Feb 19, 2016	n/a	yes	DENVER, CO	Current employment
SUMMIT FINANCIAL GROUP INC	Former SEC adviser	Oct 30, 2015	Feb 11, 2020	no	Denver, CO	Previous registration
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Oct 14, 2015	Feb 11, 2020	no	Denver, CO	Previous registration
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC	Former SEC adviser	Jul 20, 2009	Dec 31, 2015	no	DENVER, CO	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jan 2, 2009	Jul 16, 2009	no	SAINT PETERSBURG, FL	Previous registration
RAYMOND JAMES FINANCIAL SERVICES, INC.	n/a	Aug 19, 2008	Jan 2, 2009	no	DENVER, CO	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Jul 24, 2003	Jun 20, 2008	no	LAKEWOOD, CO\|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
CETERA INVESTMENT ADVISERS LLC	SUMMIT FINANCIAL GROUP INC	Feb 11, 2020	Oct 30, 2015	-1,565	Firm change after gap	Other
SUMMIT FINANCIAL GROUP INC	TRIUMPH CAPITAL MANAGEMENT	Feb 11, 2020	Feb 19, 2016	-1,453	Firm change after gap	Other
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC	CETERA INVESTMENT ADVISERS LLC	Dec 31, 2015	Oct 14, 2015	-78	Firm change after gap	Other
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC	Jul 16, 2009	Jul 20, 2009	4	Firm change	Other
RAYMOND JAMES FINANCIAL SERVICES, INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Jan 2, 2009	Jan 2, 2009	0	Bulk transfer	Other
EQUITABLE ADVISORS, LLC	RAYMOND JAMES FINANCIAL SERVICES, INC.	Jun 20, 2008	Aug 19, 2008	60	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
105644:109485:CO:2020-02-10	Feb 11, 2020	Oct 30, 2015	DENVER, CO	Firm change after gap
109485:282814:CO:2020-02-10	Feb 11, 2020	Feb 19, 2016	DENVER, CO	Firm change after gap
124446:105644:CO:2015-12-23	Dec 31, 2015	Oct 14, 2015	DENVER, CO	Firm change after gap

Relationships

Registered with (7)

→ TRIUMPH CAPITAL MANAGEMENTRegistered adviserregistration: current employment
Feb 19, 2016 to presentfactForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Oct 14, 2015 to Feb 11, 2020factForm ADV
→ SUMMIT FINANCIAL GROUP INCRegistered adviserregistration: previous registration
Oct 30, 2015 to Feb 11, 2020factForm ADV
→ J P TURNER & COMPANY CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jul 20, 2009 to Dec 31, 2015factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Jan 2, 2009 to Jul 16, 2009factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Aug 19, 2008 to Jan 2, 2009factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Jul 24, 2003 to Jun 20, 2008factForm ADV

Dated events

No dated event names this entity yet.