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Richard Garfield Pearce

Prosper Financial

Colorado Springs, CO

CRD 3225379

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Employer firm

Prosper Financial CRD 155100

$97.4M regulatory AUM 2 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

Current Employers
Prosper Financial

Colorado Springs, CO • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2015-03-27
TN RA APPROVED 2012-09-19
KY RA APPROVED 2010-11-10
  • CO RA
    APPROVED
    Since 2015-03-27
  • TN RA
    APPROVED
    Since 2012-09-19
  • KY RA
    APPROVED
    Since 2010-11-10

Branch Locations

Colorado Springs, CO • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Prosper Financial Management, Llc Colorado Springs CO 03/2012 Present
Litchford, Pearce & Associates, Pllc Colorado Springs CO 04/2019 Present
Cook Rector Pearce Colorado Springs CO 01/2024 Present
  • 03/2012 → Present
    Prosper Financial Management, Llc
    Colorado Springs, CO
  • 04/2019 → Present
    Litchford, Pearce & Associates, Pllc
    Colorado Springs, CO
  • 01/2024 → Present
    Cook Rector Pearce
    Colorado Springs, CO
Other Businesses

White Orchid Mountain Properties, LLC is an active trade or business in which Richard G. Pearce, Jr. has served as a member and manager since 2018. It engages in business consulting, primarily focused on real estate. Richard G. Pearce, Jr. does not provide any such consulting services. Its address is 5525 N. Union Blvd, Ste 201, Colorado Springs, CO 80918. Richard G. Pearce, Jr. devotes less than one hour per month to the business, although such time is incurred during trading hours. Richard G. Pearce, Jr.'s role with the business is to perform other legal and administrative services. Richard G. Pearce, Jr. is a passive investor in Co-Tn Partners, LLC, which itself is a passive investor in an active trade or business engaged in legacy preservation. Richard G. Pearce, Jr. engages in passive investments in other privately-held businesses; however, Richard G. Pearce, Jr. does not offer those investments to clients of Prosper Financial Management, LLC.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-10-27
  • S65 Uniform Investment Adviser Law Examination
    2010-10-27
Other Names
  • Richard Pearce
  • Richard Garfield Pearce

View on SEC IAPD

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