DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Lance T Spencer

Prosper Private Wealthindependent RIAProvo, Ut IA-onlyIAPD 1981961

Certified Financial Planner

Feed of 09/15/2026

At current firm

0 y

since Dec 9, 2025

In the industry

37 y

since Sep 11, 1989 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Prosper Private Wealth independent RIA current
since Dec 9, 2025 · Provo, Ut
Summit Global Investments, LLC mixed wealth
Mar 2, 2021 to Apr 9, 2025 · Mesa, Az
Fidelity Personal And Workplace Advisors former
Jul 13, 2018 to Nov 10, 2020 · Boston, Ma
Strategic Advisers LLC national BD
Nov 20, 2012 to Jul 13, 2018 · Chandler, Az
Schwab Wealth Advisory, Inc. no RAUM
Jan 3, 2012 to Oct 1, 2012 · Phoenix, Az
Charles Schwab & Co., Inc. national BD
Nov 18, 2009 to Dec 31, 2011 · Phoenix, Az
Strategic Advisers LLC national BD
Sep 16, 2005 to Jan 27, 2009 · Merrimack, Nh

Moves

a registration end followed by a registration begin elsewhere

Summit Global Investments, LLC to Prosper Private Wealth
left Apr 9, 2025, registered Dec 9, 2025 (244 days) · RIA to RIA
Fidelity Personal And Workplace Advisors to Summit Global Investments, LLC
left Nov 10, 2020, registered Mar 2, 2021 (112 days) · Affiliated broker-dealer or bank to independent RIA
Strategic Advisers LLC to Fidelity Personal And Workplace Advisors
left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
Schwab Wealth Advisory, Inc. to Strategic Advisers LLC
left Oct 1, 2012, registered Nov 20, 2012 (50 days) · Other
Charles Schwab & Co., Inc. to Schwab Wealth Advisory, Inc.
left Dec 31, 2011, registered Jan 3, 2012 (3 days) · corporate re-registration, not a move
Strategic Advisers LLC to Charles Schwab & Co., Inc.
left Jan 27, 2009, registered Nov 18, 2009 (295 days) · Affiliated broker-dealer or bank to another

Signals

Lance T Spencer left Summit Global Investments, Llc for Prosper Private Wealth (registered 2025-12-09)
Apr 9, 2025 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Independent wealth managerderived
Years in industry: 37derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address