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LS

Lance B. Swanson

DIABLO VISTA CAPITAL
Walnut Creek, CA 94597
Some features on this profile are disabled
CRD#: 2855546
LS

Professional summary

Lance Borene Swanson is a registered financial advisor currently at DIABLO VISTA CAPITAL, LLC located in Walnut Creek, California.

Lance is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Lance has worked at 3 firms and has passed the Series 65, Series 63, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lance Borene Swanson's 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®
None

Experience

Current

January 21, 2011 - Present

DIABLO VISTA CAPITAL, LLC

Office #1: 1547 Palos Verdes Mall #164, Walnut Creek, CA 94597
RIA
CRD#: 155830
Walnut Creek, CA
Past

July 21, 2004 - December 3, 2010

INSIGHT CAPITAL RESEARCH & MANAGEMENT INC

RIA
CRD#: 105570
WALNUT CREEK, CA
Past

December 18, 2000 - January 4, 2002

THOMAS WEISEL PARTNERS LLC

BD
CRD#: 46237
SAN FRANCISCO, CA

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.

Highlighted states indicate IAR registrations

IAR
California
(1/21/2011)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/15/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/22/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 1/2/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 12/15/2000
General Securities Representative Examination

Current Firm

DV
DIABLO VISTA CAPITAL, LLC
DIABLO VISTA CAPITAL, LLC

CRD#: 155830 / SEC#:

California
Registered Investment Advisory firm - (1/21/2011 Approved)
PREMIUM
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Contact information

Main Address
Danville, CA
Mailing Address
1547 Palos Verdes Mall #164, Walnut Creek, CA 94597
Phone number
(925) 798-6900
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts1
AUM (Assets Under Management)$ 90,180,218

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
SEC / JURISDICTIONREPORTING STATUSEFFECTIVE DATE
MaineERA - Withdrawn2/17/2021

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.

Company Information

DIABLO VISTA CAPITAL, LLC

CRD#: 155830Walnut Creek, CA 94597

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