EMPOWER ADVISORY GROUP, LLC of GREENWOOD VILLAGE, CO is an SEC-registered investment adviser (CRD 112058). Regulatory assets under management: $195.4B.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth.
Showing 25 of 75 people.
| Name | Role | Location |
|---|---|---|
| Palak Patel | SECRETARY | Charlotte, NC |
| NELSON PATRICK | MANAGER; MANAGER, CHAIRMAN AND PRESIDENT; PRESIDENT, DIRECTOR | ALISO VIEJO, CA |
| Richard Henry Linton | PRESIDENT AND CEO OF EAG, MANAGER | Windsor, CT |
| Gregory James Fleming | TRUSTEE | Redwood City, CA |
| Paul Guy Desmarais | TRUSTEE | — |
| Sophie Caroline Desmarais | TRUSTEE, NON-VOTING | — |
| Gary Albert Doer | TRUSTEE | — |
| Andre Roger Desmarais | TRUSTEE | — |
| David George Mcleod | MANAGER | — |
| Carol Elaine Waddell | MANAGER | — |
| William Craig Jeffries | MANAGER AND VP OPERATIONS; VP OPERATIONS | — |
| Adam Kavan | ASSISTANT GENERAL COUNSEL; SENIOR COUNSEL AND ASSISTANT SECRETARY | — |
| Craig Alan Birk | MANAGER | — |
| Steven James Stillman | MANAGER | — |
| Nathaniel Allen Mandeville | MANAGER AND TREASURER; TREASURER | — |
| Alyssa Taylor Galbaugh | ASSISTANT SECRETARY | — |
| Frederick Schulitz | VP, PARTICIPANT ADVISORY SERVICES | — |
| Stephanie Anne Secor | CHIEF COMPLIANCE OFFICER; VP COMPLIANCE, CHIEF COMPLIANCE OFFICER | — |
| Tina Marie Wilson | PRESIDENT AND CEO OF EAG, MANAGER | — |
| Anne M Thibeault | SVP PARTICIPANT ADVISORY SERVICES | — |
| Katherine Leann Stoner | CHIEF COMPLIANCE OFFICER | — |
| FLEMING GREGORY JAMES | TRUSTEE | — |
| WILSON ARLENE MARIE | CHIEF PRODUCT OFFICER; PRESIDENT AND CEO OF AAG, MANAGER; PRESIDENT AND CEO OF EAG, MANAGER | — |
| CORBETT SEGUARD MARK | MANAGER | — |
| BYRNE BEVERLY ANN | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER; SECRETARY; SECRETARY AND CHIEF COMPLIANCE OFFICER (+1 more) | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2026-01-26 | regulatory | FROM JULY 2024 THROUGH DECEMBER 17, 2025, ONE OR MORE INVESTMENT ADVISER REPRESENTATIVES, WHO WERE LICENSED IN OTHER JURISDICTIONS, PROVIDED ADVISORY SERVICES TO CERTAIN CLIENTS, INCLUDING CLIENTS IN NORTH CAROLINA, BEFORE OBTAINING NORTH CAROLINA LICENSURE. | Final | $10K |
| 2025-09-09 | regulatory | FROM SEPTEMBER 2023 THROUGH AUGUST 2025, AN INVESTMENT ADVISER REPRESENTATIVE, WHO WAS LICENSED IN OTHER JURISDICTIONS, PROVIDED ADVISORY SERVICES TO CERTAIN CLIENTS, INCLUDING CLIENTS IN ARIZONA, BEFORE OBTAINING ARIZONA LICENSURE. | Final | $10K |
| 2025-08-29 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("SEC") FOUND THAT, FROM JULY 1, 2019 THROUGH DECEMBER 31, 2022, CERTAIN RETIREMENT PLAN ADVISORS OF EFSI AND EAG, ALL OF WHOM WERE BOTH REGISTERED REPRESENTATIVES ASSOCIATED WITH EFSI AND INVESTMENT ADVISER REPRESENTATIVES ASSOCIATED WITH EAG, DID NOT SUFFICIE… | Final | $750K |
| 2025-08-29 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("SEC") FOUND THAT, FROM JULY 1, 2019 THROUGH DECEMBER 31, 2022, CERTAIN RETIREMENT PLAN ADVISORS OF EFSI AND EAG, ALL OF WHOM WERE BOTH REGISTERED REPRESENTATIVES ASSOCIATED WITH EFSI AND INVESTMENT ADVISER REPRESENTATIVES ASSOCIATED WITH EAG, DID NOT SUFFICIE… | Final | $1.5M |
| 2019-10-14 | regulatory | THE STATE OF WASHINGTON OFFICE OF THE INSURANCE COMMISSIONER ("WA OIC") INITIATED A 2019 MARKET CONDUCT CONTINUUM RELATED TO GROUP ACCIDENT AND HEALTH POLICY FILINGS IN WASHINGTON. THE WA OIC ALLEGED DEFICIENCIES RELATED TO GROUP ACCIDENT AND HEALTH POLICY FILINGS IN WASHINGTON, COMPANY FINANCIAL RA… | Final | $5K |