PERSONAL CAPITAL ADVISORS CORPORATION

Adviser information for PERSONAL CAPITAL ADVISORS CORPORATION last updated from Form ADV on March 9th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization	Corporation
Fiscal Year End	DECEMBER
Legal Location	Delaware, United States

Employees

Total Number of Employees	367
Investment Advisory/Research	367
Registered Broker-Dealer Representatives	10
Registered State Investment Advisers	243
Licensed Agents of an Insurance Company	0
No. of Firms/People that Solicit Clients	820

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	104,861	$23.1B
Non-Discretionary	0	$0
Total	104,861	$23.1B

Clients

Type	Number	RAUM
Individuals	28,059	$10.0B
HNW Individuals	6,573	$13.1B
Banking or thrift institutions	0	$0
Investment companies	0	$0
Business development companies	0	$0
Pooled investment vehicles	0	$0
Pension and profit sharing plans	0	$0
Charitable organizations	<5	$2.9M
State or municipal gov entities	0	$0
Other investment advisers	0	$0
Insurance companies	0	$0
Sovereign wealth funds and foreign official institutions	0	$0
Corporations or other businesses	15	$4.9M
Other	0	$0

Type	Number
No. of Non-RAUM Clients	0
No. of Non-U.S. Clients	0
No. of Financial Planning Clients	34500

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businesses
Compensation	% of AUM

Wrap Fee Program

Offers Wrap Fee Program	Yes

Acting As	RAUM
Sponsor	0
Portfolio Manager	0
Both for Same	23.1B

Portfolio Manager to Program	Sponsor
PERSONAL CAPITAL ADVISORS WRAP FEE PROGRAM	PERSONAL CAPITAL ADVISORS CORPORATION

Identifiers

SEC RIA File Number	801-72613
SEC ERA File Number	801-72613
SEC CIK Numbers	None
SEC CRD Numbers	155172
Legal Entity Identifier	None

Principal Office

8515 EAST ORCHARD ROAD
GREENWOOD VILLAGE
CO
United States

Monday - Friday, 8:00 A.M. - 4:00 P.M. PACIFIC TIME

Tel: 855-855-8005, Fax: None

Websites

www.youtube.com/@officialempowertoday www.facebook.com/officialempowertoday www.empower.com twitter.com/empowertoday www.linkedin.com/company/empowertoday/ www.instagram.com/officialempowertoday

Chief Compliance Officer

JENNIFER MOXON

SENIOR DIRECTOR OF COMPLIANCE

8515 EAST ORCHARD ROAD

GREENWOOD VILLAGE

United States

Tel: 303-218-3359

J*************@**********M

(Full email address available in API data)

Regulatory Contact

RYAN ORAVETZ

COMPLIANCE MANAGER

8515 EAST ORCHARD ROAD

GREENWOOD VILLAGE

United States

Tel: 844-857-1352

R***********@**********M

(Full email address available in API data)

Industry Affiliates

EMPOWER ANNUITY INSURANCE COMPANY OF AMERICA	Insurance company or agencySponsor, GP, manager of pooled investment vehicles
EMPOWER CAPITAL MANAGEMENT, LLC	Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
EMPOWER FINANCIAL SERVICES, INC.	Broker-dealer, municipal securities dealer, or gov securities broker or dealer
EMPOWER LIFE & ANNUITY INSURANCE COMPANY OF NEW YORK	Insurance company or agencySponsor, GP, manager of pooled investment vehicles
EMPOWER TRUST COMPANY, LLC	Trust company
IRISH LIFE INVESTMENT MANAGERS LIMITED	Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
PUTNAM INVESTMENT MANAGEMENT, LLC	Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
THE PUTNAM ADVISORY COMPANY, LLC	Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
WEALTHSIMPLE US, LTD.	Other investment adviser, including financial planners

Private Funds

Name	Type	Assets $USD	Min Investment $USD	No. Owners

None

Control Persons

Name	Type	Entity	Title	Since	Ownership
RYAN, KYLE, CARROLL	Individual	–	EXECUTIVE VICE PRESIDENT OF ADVISORY SERVICES	10/2010	< 5%
EMPOWER PERSONAL WEALTH, LLC	Domestic Entity	–	PARENT CORPORATION	12/2009	> 75%
BIRK, CRAIG, ALAN	Individual	–	CHIEF INVESTMENT OFFICER	08/2018	< 5%
EMPOWER SERVICES HOLDINGS, LLC	Domestic Entity	EMPOWER PERSONAL WEALTH, LLC	MEMBER	08/2020	> 75%
EMPOWER ANNUITY INSURANCE COMPANY OF AMERICA	Domestic Entity	EMPOWER SERVICES HOLDINGS, LLC	MEMBER	06/2020	> 75%
EMPOWER HOLDINGS, INC.	Domestic Entity	EMPOWER ANNUITY INSURANCE COMPANY OF AMERICA	MEMBER	02/2000	> 75%
GREAT-WEST LIFECO U.S. LLC	Domestic Entity	EMPOWER HOLDINGS, INC.	MEMBER	02/2000	> 75%
GREAT-WEST FINANCIAL (NOVA SCOTIA) CO.	Foreign Entity	GREAT-WEST LIFECO U.S. LLC	MEMBER	02/2000	> 75%
GREAT-WEST LIFECO INC.	Foreign Entity	GREAT-WEST FINANCIAL (NOVA SCOTIA) CO.	MEMBER	02/2000	> 75%
POWER FINANCIAL CORPORATION	Foreign Entity	GREAT-WEST LIFECO INC.	SHAREHOLDER	03/1986	50-75%
171263 CANADA INC.	Foreign Entity	POWER FINANCIAL CORPORATION	SHAREHOLDER	03/1988	> 75%
POWER CORPORATION OF CANADA	Foreign Entity	171263 CANADA INC.	SHAREHOLDER	12/1998	> 75%
PANSOLO HOLDING INC.	Foreign Entity	POWER CORPORATION OF CANADA	SHAREHOLDER	10/2015	50-75%
THE DEMARAIS FAMILY RESIDUARY TRUST	Foreign Entity	PANSOLO HOLDING INC.	SHAREHOLDER	10/2015	> 75%
DESMARAIS, PAUL, GUY	Individual	THE DEMARAIS FAMILY RESIDUARY TRUST	TRUSTEE	10/2013
PLESSIS-BELAIR, MICHEL	Individual	THE DEMARAIS FAMILY RESIDUARY TRUST	TRUSTEE	10/2013
FORTIN, GUY	Individual	THE DEMARAIS FAMILY RESIDUARY TRUST	TRUSTEE	10/2013
DESMARAIS, ANDRE, ROGER	Individual	THE DEMARAIS FAMILY RESIDUARY TRUST	TRUSTEE	10/2013
DESMARAIS, SOPHIE	Individual	THE DEMARAIS FAMILY RESIDUARY TRUST	TRUSTEE	10/2013
MOXON, JENNIFER	Individual	–	SENIOR DIRECTOR OF COMPLIANCE AND CHIEF COMPLIANCE OFFICER	06/2022	< 5%
Wilson, Tina, Marie	Individual	–	PRESIDENT	01/2023	< 5%
Patel, Palak	Individual	–	SECRETARY	01/2023	< 5%
Finster, Abiane	Individual	–	ASSISTANT SECRETARY	01/2023	< 5%
MCLEOD, DAVID, GEORGE	Individual	–	DIRECTOR	01/2023	< 5%
Moritz, Christine, Marie	Individual	–	DIRECTOR	01/2023	< 5%
WADDELL, CAROL, ELAINE	Individual	–	DIRECTOR	01/2023	< 5%
MANDEVILLE, NATHANIEL, ALLEN	Individual	–	TREASURER	01/2023	< 5%

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