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.
SEC-registered adviser
Empower Capital Management, LLC
Latest filing Mar 31, 2026
First filing on the tape Mar 29, 2012 · 69 filings
SEC status approved since Jun 28, 1996
RAUM
$78B
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$16B
derived; firm RAUM over IAPD count
Employees
319
84 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
9
reported on Schedule D
History
69 filings and snapshots on the tape
RAUM$78B as of Mar 31, 2026
Mar 29, 2012$16B then
HNW client RAUM: no history
State-registered IARs (5.B.3)6 as of Mar 31, 2026
Mar 29, 20120 then
Employees (5.A)319 as of Mar 31, 2026
Mar 28, 201344 then
Private funds9 as of Mar 31, 2026
Mar 29, 201211 then
RAUM +14% over the last fiscal year+13% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $16BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $472MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 34%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 63.8derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisers, otherreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$45B57%
- Insurance companies$17B22%
- Pension and profit-sharing plans$5.6B7.1%
- Pooled investment vehicles$5.5B7.1%
- State and municipal entities$3.7B4.7%
- Corporations and businesses$1.4B1.7%
- Banks and thrifts$58.2M0.1%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 65reported
- Charitable clients
- n/areported
- Accounts
- 165reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.64 institutional_share=0.34 related_bd=true related_bank=false bd_reps=44.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Lazaro GuzmanChartered Financial Analyst | West Hartford, Ct | Feb 21, 2023 | 22 y | 1 |
| Scott JohnsonChartered Financial Analyst | Rocky Hill, Ct | Feb 21, 2023 | 18 y | 1 |
| Eric PlattChartered Financial Analyst | Somers, Ct | Mar 10, 2023 | 13 y | 0 |
| Jennifer BourretChartered Financial Analyst | Sarasota, Fl | Mar 10, 2023 | 13 y | 1 |
| Bradley Geissbuhler | Greenwood Village, Co | Dec 26, 2025 | 18 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from Global Portfolio Strategies, Inc.Dec 13, 2022 · Hartford, Ct · Firm absorbed
Private funds
11 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Coli-Vul Managed Fund Vi (Pimco) | Other Private Fund | $615M | 23 | Mar 29, 2012 |
| Coli-Vul 5 Series Account (US Bancorp) | Other Private Fund | $524M | 1 | Mar 29, 2012 |
| Coli-Vul 11 Series Account (Bb&T) | Other Private Fund | $419M | 1 | Mar 29, 2012 |
| Coli-Vul 9 Series Account (Bony)no longer reported | Other Private Fund | $343M | 1 | Mar 29, 2012 |
| Coli-Vul 8 Series Account (American Express II) | Other Private Fund | $250M | 1 | Mar 29, 2012 |
| Coli-Vul Managed Fund IV (Ecm) | Other Private Fund | $214M | 18 | Mar 29, 2012 |
| Coli-Vul 3 Series Account (Huntington) | Other Private Fund | $184M | 1 | Mar 29, 2012 |
| Coli-Vul Managed Fund II (Wamco) | Other Private Fund | $139M | 1 | Mar 29, 2012 |
| Coli-Vul 10: Investment Division 3 (Bank United) | Other Private Fund | $116M | 1 | Mar 29, 2012 |
| Coli-Vul Managed Fund V (Goldman Sachs)no longer reported | Other Private Fund | $62.1M | 5 | Mar 29, 2012 |
| Coli-Vul 10: Investment Division 2 (Wells) | Other Private Fund | $56.7M | 1 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Tad Anderson · Assistant Portfolio Managercontrolsince 11/2021 · owns less than 5%
- Joseph Anthony Arnese · Assistant Portfolio Managercontrolsince 11/2021 · owns less than 5%
- Edward Jack Brown · Chief Investment Officercontrolsince 04/2023 · owns less than 5%
- Darrin Robert Clough · Portfolio Managercontrolsince 04/2021 · owns less than 5%
- Andrew John Clouthier · Assistant Treasurercontrolsince 04/2014 · owns less than 5%
- N Andrew Corwin · Portfolio Managercontrolsince 04/2017 · owns less than 5%
- Abhijit Dande · Derivatives Risk Managercontrolsince 11/2021 · owns less than 5%
- Abiane Finster · Assistant Secretarycontrolsince 11/2022 · owns less than 5%
- Lazaro Guzman · Vice Presidentcontrolsince 04/2023 · owns less than 5%
- David Jonathan Kreider · President And Ceocontrolsince 02/2020 · owns less than 5%
- Henry Richard Linton · Managercontrolsince 05/2019 · owns less than 5%
- Lynn Ryan Logsdon · Vice President & Counselcontrolsince 11/2022 · owns less than 5%
- Carol Mary Maiers · Managercontrolsince 07/2023 · owns less than 5%
- George David Mcleod · Managercontrolsince 05/2016 · owns less than 5%
- Lynn Maria Mendelsberg · Portfolio Managercontrolsince 04/2018 · owns less than 5%
- Blanchard Kelly New · Financial Officer & Treasurercontrolsince 04/2023 · owns less than 5%
- Palak Patel · Secretarycontrolsince 11/2022 · owns less than 5%
- Rastetter Robyn Richards · Assistant Portfolio Managercontrolsince 11/2021 · owns less than 5%
- Leann Katherine Stoner · Cco, Head Of Compliancecontrolsince 08/2016 · owns less than 5%
- Olga Zhivnitskaya · Counselcontrolsince 11/2022 · owns less than 5%
- Roger Andre Desmarais · Trusteecontrolsince 10/2013 · owns F of The Desmarais Family Residuary Trust
- Guy Paul Desmarais · Trusteecontrolsince 10/2013 · owns F of The Desmarais Family Residuary Trust
- James Gregory Fleming · Trusteecontrolsince 02/2024 · owns F of The Desmarais Family Residuary Trust
- Caroline Sophie Desmarais · Trustee, Non-Votingsince 03/2018 · owns F of The Desmarais Family Residuary Trust
Entity owners
- Empower Services Holdings US, LLC · Sole Memberdirect · owns 75% or more
- Empower Annuity Insurance Company Of America · Memberindirect · owns 75% or more of Empower Services Holdings US, LLC
- Empower Holdings, LLC · Memberindirect · owns 75% or more of Empower Annuity Insurance Company Of America
- Great-West Financial (Nova Scotia) Co. · Memberindirect · owns 75% or more of Great-West Lifeco U.S. LLC
- Great-West Lifeco Inc. · Memberindirect · owns 75% or more of Great-West Financial (Nova Scotia) Co.
- Great-West Lifeco U.S. LLC · Memberindirect · owns 75% or more of Empower Holdings, LLC
- Pansolo Holding Inc. · Shareholderindirect · owns 50% to 75% of Power Corporation Of Canada
- Power Corporation Of Canada · Shareholderindirect · owns 75% or more of Power Financial Corporation
- Power Financial Corporation · Shareholderindirect · owns 50% to 75% of Great-West Lifeco Inc.
- The Desmarais Family Residuary Trust · Shareholderindirect · owns 75% or more of Pansolo Holding Inc.
Related persons
Schedule D 7.A
- Empower Advisory Group, LLCinvestment advisernRAUM $195B
- Empower Annuity Insurance Companypooled vehicle sponsorreal estatecustodiann
- Empower Annuity Insurance Company Of Americapooled vehicle sponsorreal estatecustodiany
- Empower Financial Services, Inc.broker-dealern
- Empower Life & Annuity Insurance Company Of New Yorkpooled vehicle sponsorreal estatecustodiann
- Empower Trust Company, LLCpooled vehicle sponsorcustodiann
- Keyridge Asset Management Limitedinvestment adviserpooled vehicle sponsornRAUM $163B
Advisers that list Empower Capital Management, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Greenwood Village, Co · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 155 to 165May 30, 2025 to Mar 31, 2026
- Advisory employees · 78 to 84May 30, 2025 to Mar 31, 2026
- BD registered reps · 45 to 44May 30, 2025 to Mar 31, 2026
- Corporate clients · 50 to 47May 30, 2025 to Mar 31, 2026
- Pension plan clients · 54 to 65May 30, 2025 to Mar 31, 2026
- Employees · 321 to 319May 30, 2025 to Mar 31, 2026
- Insurance-licensed employees · 5 to 4May 30, 2025 to Mar 31, 2026
- State-registered IARs · 5 to 6May 30, 2025 to Mar 31, 2026
- Discretionary RAUM · $63B to $73BMay 30, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $5.1B to $5.0BMay 30, 2025 to Mar 31, 2026
- Pension RAUM · $5.5B to $5.6BMay 30, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $5.1B to $5.5BMay 30, 2025 to Mar 31, 2026
- RAUM · $68B to $78BMay 30, 2025 to Mar 31, 2026
- Accounts · 158 to 155Mar 31, 2025 to May 30, 2025
- Financial planning clients · 0 to 0Mar 31, 2025 to May 30, 2025
- Accounts · 154 to 158Aug 26, 2024 to Mar 31, 2025
- Advisory employees · 71 to 78Aug 26, 2024 to Mar 31, 2025
- Corporate clients · 49 to 50Aug 26, 2024 to Mar 31, 2025
- Pension plan clients · 56 to 54Aug 26, 2024 to Mar 31, 2025
- Pooled vehicle clients · 6 to 8Aug 26, 2024 to Mar 31, 2025
- Employees · 305 to 321Aug 26, 2024 to Mar 31, 2025
- Discretionary RAUM · $60B to $63BAug 26, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $5.0B to $5.1BAug 26, 2024 to Mar 31, 2025
- Pension RAUM · $5.0B to $5.5BAug 26, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $4.5B to $5.1BAug 26, 2024 to Mar 31, 2025
- RAUM · $65B to $68BAug 26, 2024 to Mar 31, 2025
- Related bank · true to falseAug 26, 2024 to Mar 31, 2025
- Accounts · 101 to 154Feb 1, 2024 to Mar 28, 2024
- Advisory employees · 77 to 71Feb 1, 2024 to Mar 28, 2024
- BD registered reps · 44 to 45Feb 1, 2024 to Mar 28, 2024
- Corporate clients · 48 to 49Feb 1, 2024 to Mar 28, 2024
- Pension plan clients · 7 to 56Feb 1, 2024 to Mar 28, 2024
- Pooled vehicle clients · 2 to 6Feb 1, 2024 to Mar 28, 2024
- Employees · 260 to 305Feb 1, 2024 to Mar 28, 2024
- Insurance-licensed employees · 3 to 5Feb 1, 2024 to Mar 28, 2024
- State-registered IARs · 3 to 5Feb 1, 2024 to Mar 28, 2024
- Discretionary RAUM · $54B to $60BFeb 1, 2024 to Mar 28, 2024
- Non-discretionary RAUM · $485M to $5.0BFeb 1, 2024 to Mar 28, 2024
- Pension RAUM · $650M to $5.0BFeb 1, 2024 to Mar 28, 2024
- Pooled vehicle RAUM · $3.2B to $4.5BFeb 1, 2024 to Mar 28, 2024
Signals
35 dated events
- James Gregory Fleming (Trustee) appeared on Schedule A of Empower Capital Management, LlcMar 28, 2024 · Control person joined · fact
- Carol Mary Maiers (Manager) appeared on Schedule A of Empower Capital Management, LlcJul 11, 2023 · Control person joined · fact
- Marie Christine Moritz (Manager) no longer on Schedule A of Empower Capital Management, Llc (listed 2023-07-07, absent 2023-07-11)Jul 11, 2023 · Control person left · inference
- Guy Fortin (Trustee) no longer on Schedule A of Empower Capital Management, Llc (listed 2023-06-28, absent 2023-07-07)Jul 7, 2023 · Control person left · inference
- Michel Plessis-Belair (Trustee) no longer on Schedule A of Empower Capital Management, Llc (listed 2023-05-22, absent 2023-06-28)Jun 28, 2023 · Control person left · inference
- Ward Argust (Assistant Portfolio Manager) no longer on Schedule A of Empower Capital Management, Llc (listed 2023-03-31, absent 2023-05-22)May 22, 2023 · Control person left · inference
- Lazaro Guzman (Vice President) appeared on Schedule A of Empower Capital Management, LlcMay 22, 2023 · Control person joined · fact
- Empower Capital Management, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)Feb 1, 2023 · Succession (Item 4) · fact
- Global Portfolio Strategies, Inc.'s advisors moved to Empower Capital Management, LLC (Hartford, CT): 3 of 5 registered, on the same dayDec 13, 2022 · Firm absorbed (people side) · derived
- Olga Zhivnitskaya (Counsel) appeared on Schedule A of Empower Capital Management, LlcNov 22, 2022 · Control person joined · fact
- Palak Patel (Secretary) appeared on Schedule A of Empower Capital Management, LlcNov 22, 2022 · Control person joined · fact
- Abiane Finster (Assistant Secretary) appeared on Schedule A of Empower Capital Management, LlcNov 22, 2022 · Control person joined · fact
- Adam Kavan (Assistant Vice President & Assistant Secretary) no longer on Schedule A of Empower Capital Management, Llc (listed 2022-08-15, absent 2022-11-22)Nov 22, 2022 · Control person left · inference
- Thomas Robert Kelly (Assistant Treasurer) no longer on Schedule A of Empower Capital Management, Llc (listed 2022-06-23, absent 2022-08-01)Aug 1, 2022 · Control person left · inference
- Empower Capital Management, Llc reported RAUM $58.7B, up 41% from $41.5B (2022-01-06 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Leigh Rebecca Dugan (Assistant Portfolio Manager) no longer on Schedule A of Empower Capital Management, Llc (listed 2022-01-06, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Joseph Anthony Arnese (Assistant Portfolio Manager) appeared on Schedule A of Empower Capital Management, LlcJan 6, 2022 · Control person joined · fact
- Rastetter Robyn Richards (Assistant Portfolio Manager) appeared on Schedule A of Empower Capital Management, LlcJan 6, 2022 · Control person joined · fact
- Ward Argust (Assistant Portfolio Manager) appeared on Schedule A of Empower Capital Management, LlcJan 6, 2022 · Control person joined · fact
- Abhijit Dande (Derivatives Risk Manager) appeared on Schedule A of Empower Capital Management, LlcJan 6, 2022 · Control person joined · fact
- Tad Anderson (Assistant Portfolio Manager) appeared on Schedule A of Empower Capital Management, LlcJan 6, 2022 · Control person joined · fact
- Carol Mary Maiers (Chief Financial Officer & Treasurer) no longer on Schedule A of Empower Capital Management, Llc (listed 2021-03-31, absent 2021-04-20)Apr 20, 2021 · Control person left · inference
- Darrin Robert Clough (Portfolio Manager) appeared on Schedule A of Empower Capital Management, LlcApr 20, 2021 · Control person joined · fact
- Nathan Simons (Assistant Portfolio Manager) no longer on Schedule A of Empower Capital Management, Llc (listed 2020-04-27, absent 2020-05-15)May 15, 2020 · Control person left · inference
- Thomas Robert Kelly (Assistant Treasurer) appeared on Schedule A of Empower Capital Management, LlcApr 27, 2020 · Control person joined · fact
- Yakovlevich Semen Moyn (Assistant Portfolio Manager) no longer on Schedule A of Empower Capital Management, Llc (listed 2020-04-01, absent 2020-04-27)Apr 27, 2020 · Control person left · inference
- Michel Plessis-Belair (Trustee) appeared on Schedule A of Empower Capital Management, LlcMar 30, 2020 · Control person joined · fact
- Guy Fortin (Trustee) appeared on Schedule A of Empower Capital Management, LlcMar 30, 2020 · Control person joined · fact
- Guy Paul Desmarais (Trustee) appeared on Schedule A of Empower Capital Management, LlcMar 30, 2020 · Control person joined · fact
- Roger Andre Desmarais (Trustee) appeared on Schedule A of Empower Capital Management, LlcMar 30, 2020 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- Empower Capital Management, LLC · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- empower.com/investmentsreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 303-737-1646reportedpublic record, Form ADV, Mar 31, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $16Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026