Lance B. Swanson

DIABLO VISTA CAPITAL

Walnut Creek, CA 94597

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CRD#: 2855546

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

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)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/15/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/22/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 1/2/2001

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 12/15/2000

General Securities Representative Examination

Current Firm

DIABLO VISTA CAPITAL, LLC

CRD#: 155830 / SEC#:

California

Registered Investment Advisory firm - (1/21/2011 Approved)

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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

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 78,203,213

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 / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
Maine	ERA - Withdrawn	2/17/2021

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.

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Lance B. Swanson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lance Borene Swanson's CRS (Customer Relationship Summary).

Certified licenses

Experience

DIABLO VISTA CAPITAL, LLC

INSIGHT CAPITAL RESEARCH & MANAGEMENT INC

THOMAS WEISEL PARTNERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/15/2004

Series 63

Date: 11/22/2000

Series 55

Date: 1/2/2001

Series 7

Date: 12/15/2000

Current Firm

DIABLO VISTA CAPITAL, LLC

Contact information

Documents

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

DIABLO VISTA CAPITAL, LLC

TRUST BUT VERIFY

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