James C. Gebhardt

GEBHARDT GROUP,

Lafayette, CA 94549

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CRD#: 2737003

Professional summary

James C Gebhardt, CFP®, who also goes by James Gebhardt, Jim Gebhardt, is a registered financial advisor currently at GEBHARDT GROUP, INC located in Lafayette, California and INTEGRITY ALLIANCE, LLC. located in Lafayette, California.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. James has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Gebhardt | Jim Gebhardt

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1.INDEPENDENT INSURANCE AGENT;YES;3390 MT DIABLO BLVD 250 LAFAYETTE, CA 94594;FIXED INSURANCE SALES;INDEPENDENT INSURANCE AGENT;2/2011;16;16;SALES OF FIXED INSURANCE PRODUCTS 2. GEBHARDT GROUP, INC.;YES;3390 MT DIABLO BLVD 250 LAFAYETTE, CA 94594;REGISTERED INVESTMENT ADVISER;OWNER;1/2007;160;160;REGISTERED INVESTMENT ADVISER 3. GEBHARDT GROUP INC.;YES;3390 MT DIABLO BLVD 250 LAFAYETTE, CA 94594;DBA;OWNER;1/2007;160;160;DBA FOR INSURANCE AND SECURITIES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James C Gebhardt's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2004

Experience

Current

April 14, 2025 - Present

GEBHARDT GROUP, INC

Office #1: 3390 Mt. Diablo Boulevard Suite 250, Lafayette, CA 94549

RIA

CRD#: 142903

Lafayette, CA

Current

February 9, 2011 - Present

INTEGRITY ALLIANCE, LLC.

Office #1: 3390 Mt Diablo Blvd. Suite 250, Lafayette, CA 94549

RIA

CRD#: 139627

Lafayette, CA

Past

August 2, 2019 - December 31, 2024

GEBHARDT GROUP, INC

RIA

CRD#: 142903

LAFAYETTE, CA

Past

February 6, 2015 - December 31, 2018

401K MASTERS, LLC

RIA

CRD#: 174735

LAFAYETTE, CA

Past

September 3, 2013 - August 2, 2019

GEBHARDT GROUP, INC

RIA

CRD#: 142903

LAFAYETTE, CA

Past

February 9, 2011 - February 11, 2011

INTEGRITY ALLIANCE, LLC.

RIA

CRD#: 139627

LAFAYETTE, CA

Past

May 9, 2007 - December 31, 2011

GEBHARDT GROUP, INC

RIA

CRD#: 142903

LAFAYETTE, CA

Past

May 20, 2005 - September 12, 2007

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

LAFAYETTE, CA

Past

May 20, 2005 - February 23, 2011

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

LAFAYETTE, CA

Past

November 15, 1999 - June 8, 2005

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

PLEASANTON, CA

Past

November 3, 1999 - June 8, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

August 16, 1996 - November 3, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

GEBHARDT GROUP, INC

CRD#: 142903 / SEC#: 801-80379

RIA

Registered Investment Advisory firm - (10/28/2014 Approved)

California

Registered Investment Advisory firm - (1/2/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(2/9/2011)

California
(2/9/2011)

IAR

California
(4/14/2025)

Illinois
(11/12/2025)

Montana
(4/7/2011)

Nevada
(9/28/2023)

IAR

Nevada
(4/16/2025)

New York
(2/9/2011)

IAR

New York
(4/14/2025)

Texas
(2/9/2011)

Washington
(2/9/2011)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/8/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/25/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 2/28/2003

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/8/1996

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

GEBHARDT GROUP, INC

CRD#: 142903 / SEC#: 801-80379

RIA

Registered Investment Advisory firm - (10/28/2014 Approved)

California

Registered Investment Advisory firm - (1/2/2015 Terminated)

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Contact information

Main Address

3390 Mt. Diablo Boulevard Suite 250, Lafayette, CA 94549

Mailing Address

Phone number

(925) 283-9150

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GEBHARDT GROUP FORM ADV PART 2A - MARCH 2025 (3/13/2025)

Regulatory assets under management

Total Number of Accounts	762
AUM (Assets Under Management)	$ 295,168,856

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

James C. Gebhardt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James C Gebhardt's CRS (Customer Relationship Summary).

Certified licenses

Experience

INTEGRITY ALLIANCE, LLC.

GEBHARDT GROUP, INC

401K MASTERS, LLC

GEBHARDT GROUP, INC

INTEGRITY ALLIANCE, LLC.

GEBHARDT GROUP, INC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

GEBHARDT GROUP, INC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/8/1996

Series 63

Date: 7/25/1996

SIE

Date: 10/1/2018

Series 31

Date: 2/28/2003

Series 7

Date: 7/8/1996

FINRA

Current Firm

GEBHARDT GROUP, INC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GEBHARDT GROUP, INC

TRUST BUT VERIFY

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