Adam D. Spiegelman

SPIEGELMAN WEALTH MANAGEMENT

WALNUT CREEK, CA 94596

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CRD#: 3098702

Professional summary

Adam David Spiegelman, CFP® is a registered financial advisor currently at SPIEGELMAN WEALTH MANAGEMENT, INC. located in Walnut Creek, California.

Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Adam has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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.

1. Fixed insurance sales; as of 02/23/2018; Approximately 5% Time spent during securities trading hours per month; Conducted at branch location; Investment related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam David Spiegelman'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: 2014

Experience

Current

August 6, 2025 - Present

SPIEGELMAN WEALTH MANAGEMENT, INC.

Office #1: 1212 Broadway Plaza Suite 2100 #54., Walnut Creek, CA 94596

RIA

CRD#: 336637

WALNUT CREEK, CA

Past

February 21, 2018 - July 14, 2025

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

Walnut Creek, CA

Past

February 21, 2018 - May 1, 2020

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

Lafayette, CA

Past

May 8, 2006 - March 20, 2018

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

SAN FRANCISCO, CA

Past

February 11, 2004 - March 20, 2018

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

SAN FRANCISCO, CA

Past

November 11, 1998 - November 1, 2001

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

SAN MATEO, 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
(8/6/2025)

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 66

Date: 5/1/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/11/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/9/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/10/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SPIEGELMAN WEALTH MANAGEMENT, INC.

LAFAYETTE WEALTH MANAGEMENT LLC | SPIEGELMAN WEALTH MANAGEMENT, INC. | SPIEGELMAN WEALTH MANAGEMENT LLC

CRD#: 336637 / SEC#: 801-133759

RIA

Registered Investment Advisory firm - (6/26/2025 120-Day Approval)

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Contact information

Main Address

1212 Broadway Plaza Suite 2100 #54., Walnut Creek, CA 94596

Mailing Address

3000-f Danville Blvd., #423, Alamo, CA 94507

Phone number

(925) 385-6200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SWM FORM ADV PART 2A WRAP 2025 (9/23/2025)

SWM FORM ADV PART 2A 2025 (9/23/2025)

Regulatory assets under management

Total Number of Accounts	531
AUM (Assets Under Management)	$ 431,869,941

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

Adam D. Spiegelman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam David Spiegelman's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/1/2006

Series 63

Date: 3/11/2004

SIE

Date: 10/1/2018

Series 7

Date: 2/9/2004

Series 6

Date: 11/10/1998

Current Firm

SPIEGELMAN WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SPIEGELMAN WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

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