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.

Former SEC-registered adviser

Personal Capital Advisors Corporation

Former SEC-registered adviserGreenwood Village, ColoradoCRD 155172SEC 801-72613IAPD
Latest filing Mar 9, 2023
First filing on the tape Dec 22, 2011 · 40 filings
RAUM
$23B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$23B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
367
367 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$23B as of Feb 15, 2023
Mar 30, 2012$10.8M then
HNW client RAUM$13B as of Feb 15, 2023
Feb 23, 2018$2.6B then
State-registered IARs (5.B.3)243 as of Feb 15, 2023
Mar 30, 20120 then
Employees (5.A)367 as of Feb 15, 2023
Apr 1, 201319 then
Private funds: no history
RAUM +1.0% over the last fiscal year+24% a year over threeIARs 265 to 243offices 2 to 0
Practice profile
derived from the filing of Mar 9, 2023; every figure names its basis
RAUM per advisor
$95.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
143derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.0MderivedHNW RAUM over HNW clients
Average account
$220,175derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
243.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+1.0%derivedbetween the last two annual amendments
Advisor growth, one year
-8.3%derivedItem 5.B.3 between annual amendments
Client growth, one year
+12%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Financial planning clients
34,500reportedItem 5.H
Wrap fee program
$23BreportedItem 5.I
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
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • marketing includes testimonials (5.L.1.c)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$13B57%
  • Individuals$10.0B43%
  • Corporations and businesses$4.9M0.0%
  • Charitable organizations$2.9M0.0%
Individual clients
28,059reported
HNW clients
6,573reported
Pension plan clients
0reported
Charitable clients
n/areported
Accounts
104,861reported
Financial planning clients
34,500reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Alan Craig Birk · Chief Investment Officercontrol
      since 08/2018 · owns less than 5%
    • Abiane Finster · Assistant Secretarycontrol
      since 01/2023 · owns less than 5%
    • Allen Nathaniel Mandeville · Treasurercontrol
      since 01/2023 · owns less than 5%
    • George David Mcleod · Directorcontrol
      since 01/2023 · owns less than 5%
    • Marie Christine Moritz · Directorcontrol
      since 01/2023 · owns less than 5%
    • Jennifer Moxon · Senior Director Of Compliance And Chief Compliance Officercontrol
      since 06/2022 · owns less than 5%
    • Palak Patel · Secretarycontrol
      since 01/2023 · owns less than 5%
    • Carroll Kyle Ryan · Executive Vice President Of Advisory Servicescontrol
      since 10/2010 · owns less than 5%
    • Elaine Carol Waddell · Directorcontrol
      since 01/2023 · owns less than 5%
    • Marie Tina Wilson · Presidentcontrol
      since 01/2023 · owns less than 5%
    • Roger Andre Desmarais · Trusteecontrol
      since 10/2013 · owns F of The Demarais Family Residuary Trust
    • Guy Paul Desmarais · Trusteecontrol
      since 10/2013 · owns F of The Demarais Family Residuary Trust
    • Sophie Desmarais · Trusteecontrol
      since 10/2013 · owns F of The Demarais Family Residuary Trust
    • Guy Fortin · Trusteecontrol
      since 10/2013 · owns F of The Demarais Family Residuary Trust
    • Michel Plessis-Belair · Trusteecontrol
      since 10/2013 · owns F of The Demarais Family Residuary Trust
    Entity owners
    • Empower Personal Wealth, LLC · Parent Corporation
      direct · owns 75% or more
    • 171263 Canada Inc. · Shareholder
      indirect · owns 75% or more of Power Financial Corporation
    • Empower Annuity Insurance Company Of America · Member
      indirect · owns 75% or more of Empower Services Holdings, LLC
    • Empower Holdings, Inc. · Member
      indirect · owns 75% or more of Empower Annuity Insurance Company Of America
    • Empower Services Holdings, LLC · Member
      indirect · owns 75% or more of Empower Personal Wealth, LLC
    • Great-West Financial (Nova Scotia) Co. · Member
      indirect · owns 75% or more of Great-West Lifeco U.S. LLC
    • Great-West Lifeco Inc. · Member
      indirect · owns 75% or more of Great-West Financial (Nova Scotia) Co.
    • Great-West Lifeco U.S. LLC · Member
      indirect · owns 75% or more of Empower Holdings, Inc.
    • Pansolo Holding Inc. · Shareholder
      indirect · owns 50% to 75% of Power Corporation Of Canada
    • Power Corporation Of Canada · Shareholder
      indirect · owns 75% or more of 171263 Canada Inc.
    • Power Financial Corporation · Shareholder
      indirect · owns 50% to 75% of Great-West Lifeco Inc.
    • The Demarais Family Residuary Trust · Shareholder
      indirect · owns 75% or more of Pansolo Holding Inc.
    Related persons
    Schedule D 7.A
    Advisers that list Personal Capital Advisors Corporation as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 86,801 to 104,861
      Jun 1, 2022 to Feb 15, 2023
    • Advisory employees · 366 to 367
      Jun 1, 2022 to Feb 15, 2023
    • BD registered reps · 0 to 10
      Jun 1, 2022 to Feb 15, 2023
    • HNW clients · 6,369 to 6,573
      Jun 1, 2022 to Feb 15, 2023
    • Individual clients · 24,546 to 28,059
      Jun 1, 2022 to Feb 15, 2023
    • Employees · 366 to 367
      Jun 1, 2022 to Feb 15, 2023
    • HQ city · REDWOOD CITY to GREENWOOD VILLAGE
      Jun 1, 2022 to Feb 15, 2023
    • HQ state · CA to CO
      Jun 1, 2022 to Feb 15, 2023
    • State-registered IARs · 265 to 243
      Jun 1, 2022 to Feb 15, 2023
    • Other offices · 2 to 0
      Jun 1, 2022 to Feb 15, 2023
    • Discretionary RAUM · $23B to $23B
      Jun 1, 2022 to Feb 15, 2023
    • HNW RAUM · $14B to $13B
      Jun 1, 2022 to Feb 15, 2023
    • Individual RAUM · $9.2B to $10.0B
      Jun 1, 2022 to Feb 15, 2023
    • RAUM · $23B to $23B
      Jun 1, 2022 to Feb 15, 2023
    • Accounts · 69,953 to 86,801
      Sep 14, 2021 to Mar 30, 2022
    • Advisory employees · 286 to 366
      Sep 14, 2021 to Mar 30, 2022
    • Corporate clients · 11 to 15
      Sep 14, 2021 to Mar 30, 2022
    • HNW clients · 4,219 to 6,369
      Sep 14, 2021 to Mar 30, 2022
    • Individual clients · 21,474 to 24,546
      Sep 14, 2021 to Mar 30, 2022
    • Pension plan clients · unset to 0.0
      Sep 14, 2021 to Mar 30, 2022
    • Pooled vehicle clients · unset to 0.0
      Sep 14, 2021 to Mar 30, 2022
    • Employees · 289 to 366
      Sep 14, 2021 to Mar 30, 2022
    • HQ city · SAN FRANCISCO to REDWOOD CITY
      Sep 14, 2021 to Mar 30, 2022
    • State-registered IARs · 193 to 265
      Sep 14, 2021 to Mar 30, 2022
    • Other offices · 4 to 2
      Sep 14, 2021 to Mar 30, 2022
    • Discretionary RAUM · $16B to $23B
      Sep 14, 2021 to Mar 30, 2022
    • HNW RAUM · $8.7B to $14B
      Sep 14, 2021 to Mar 30, 2022
    • Individual RAUM · $7.4B to $9.2B
      Sep 14, 2021 to Mar 30, 2022
    • Pension RAUM · unset to 0.0
      Sep 14, 2021 to Mar 30, 2022
    • Pooled vehicle RAUM · unset to 0.0
      Sep 14, 2021 to Mar 30, 2022
    • RAUM · $16B to $23B
      Sep 14, 2021 to Mar 30, 2022
    • Accounts · 62,594 to 69,953
      Oct 2, 2020 to Mar 30, 2021
    • Advisory employees · 244 to 286
      Oct 2, 2020 to Mar 30, 2021
    • Charity clients · 11.0 to unset
      Oct 2, 2020 to Mar 30, 2021
    • Corporate clients · 54 to 11
      Oct 2, 2020 to Mar 30, 2021
    • HNW clients · 3,152 to 4,219
      Oct 2, 2020 to Mar 30, 2021
    • Individual clients · 19,509 to 21,474
      Oct 2, 2020 to Mar 30, 2021
    • Employees · 247 to 289
      Oct 2, 2020 to Mar 30, 2021
    • State-registered IARs · 164 to 193
      Oct 2, 2020 to Mar 30, 2021
    • Discretionary RAUM · $12B to $16B
      Oct 2, 2020 to Mar 30, 2021
    Signals
    60 dated events
    • Matthew Allyn Joyner left Personal Capital Advisors Corporation for Fortis Capital Advisors, Llc (registered 2023-03-30)
      Mar 29, 2023 · Advisor changed firm · fact
    • Garrett Dale Patton left Personal Capital Advisors Corporation for Creative Planning Institutional Advisors, Llc (registered 2024-09-09)
      Mar 22, 2023 · Advisor changed firm · fact
    • Andrew Moore Smith left Personal Capital Advisors Corporation for Mariner (registered 2023-04-11)
      Mar 20, 2023 · Advisor changed firm · fact
    • Ryan William Emerson left Personal Capital Advisors Corporation for Curi Capital, Llc (registered 2023-03-28)
      Mar 8, 2023 · Advisor changed firm · fact
    • Ashley Elaine Duffey left Personal Capital Advisors Corporation for Concentric (registered 2024-07-10)
      Feb 27, 2023 · Advisor changed firm · fact
    • Marie Christine Moritz (Director) appeared on Schedule A of Personal Capital Advisors Corporation
      Feb 15, 2023 · Control person joined · fact
    • Allen Nathaniel Mandeville (Treasurer) appeared on Schedule A of Personal Capital Advisors Corporation
      Feb 15, 2023 · Control person joined · fact
    • Abiane Finster (Assistant Secretary) appeared on Schedule A of Personal Capital Advisors Corporation
      Feb 15, 2023 · Control person joined · fact
    • Palak Patel (Secretary) appeared on Schedule A of Personal Capital Advisors Corporation
      Feb 15, 2023 · Control person joined · fact
    • Marie Tina Wilson (President) appeared on Schedule A of Personal Capital Advisors Corporation
      Feb 15, 2023 · Control person joined · fact
    • Alan Paul Bergholm (Chief Financial Officer) no longer on Schedule A of Personal Capital Advisors Corporation (listed 2022-06-01, absent 2023-02-15)
      Feb 15, 2023 · Control person left · inference
    • Elaine Carol Waddell (Director) appeared on Schedule A of Personal Capital Advisors Corporation
      Feb 15, 2023 · Control person joined · fact
    • Jay Shah (Chief Executive Officer) no longer on Schedule A of Personal Capital Advisors Corporation (listed 2022-06-01, absent 2023-02-15)
      Feb 15, 2023 · Control person left · inference
    • George David Mcleod (Director) appeared on Schedule A of Personal Capital Advisors Corporation
      Feb 15, 2023 · Control person joined · fact
    • Glenn W Shaffer left Personal Capital Advisors Corporation for Fidelity Personal And Workplace Advisors (registered 2023-05-15)
      Feb 13, 2023 · Advisor changed firm · fact
    • Michael A. Adams left Personal Capital Advisors Corporation for Fidelity Personal And Workplace Advisors (registered 2023-05-02)
      Feb 2, 2023 · Advisor changed firm · fact
    • Dylan Frank Patrick Younce left Personal Capital Advisors Corporation for Zacks Investment Management, Inc. (registered 2023-01-12)
      Jan 6, 2023 · Advisor changed firm · fact
    • Jordan Meurrier Pedron left Personal Capital Advisors Corporation for Ndvr (registered 2023-01-17)
      Dec 16, 2022 · Advisor changed firm · fact
    • Zachary Barrett Lundak left Personal Capital Advisors Corporation for Barrett Fp Llc (registered 2025-04-29)
      Dec 15, 2022 · Advisor changed firm · fact
    • Keith Michael Prybylski left Personal Capital Advisors Corporation for Ubs Financial Services Inc. (registered 2022-12-19)
      Dec 6, 2022 · Advisor changed firm · fact
    • Luke Thomas Mokma left Personal Capital Advisors Corporation for Koa Wealth Management, Llc (registered 2022-11-09)
      Oct 31, 2022 · Advisor changed firm · fact
    • Joseph Lynch left Personal Capital Advisors Corporation for Advice And Planning Services (registered 2022-11-09)
      Oct 31, 2022 · Advisor changed firm · fact
    • Jeffrey James Jordano left Personal Capital Advisors Corporation for Principal Securities, Inc. (registered 2022-11-01)
      Oct 31, 2022 · Advisor changed firm · fact
    • Scott Mccandless left Personal Capital Advisors Corporation for Mariner (registered 2022-10-25)
      Oct 26, 2022 · Advisor changed firm · fact
    • 2 advisors left Fisher Investments (Plano, TX) for Personal Capital Advisors Corporation a day apart
      Oct 17, 2022 · Team lift-out · derived
    • Brian Andrew Turner left Personal Capital Advisors Corporation for Facet (registered 2022-10-03)
      Oct 4, 2022 · Advisor changed firm · fact
    • George Carpenter Timson left Personal Capital Advisors Corporation for Signalpoint Asset Management Llc (registered 2022-09-14)
      Sep 12, 2022 · Advisor changed firm · fact
    • Chad Kimble left Personal Capital Advisors Corporation for Morgan Stanley (registered 2022-11-22)
      Aug 30, 2022 · Advisor changed firm · fact
    • Brandon Lynn French left Personal Capital Advisors Corporation for Advice And Planning Services (registered 2024-07-09)
      Aug 30, 2022 · Advisor changed firm · fact
    • Michael Cronin Freeman left Personal Capital Advisors Corporation for Fisher Investments (registered 2022-09-15)
      Aug 19, 2022 · Advisor changed firm · fact
    Across DFX
    shared identifiers only, never a name match
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026