David R. Koehler
INDEPENDENT FINANCIAL GROUP
San Jose, CA 95126
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CRD#: 4832628
Professional summary
David Richard Koehler, CFP® is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in San Jose, California.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. David has worked at 4 firms and has passed the Series 66, SIE 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.
(1) ALAMEDA FINANCIAL GROUP POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 60 START DATE: 07/15/2013 ADDRESS: 1541 The Alameda, San Jose CA 95126, United States DESCRIPTION: 100% OWNER OF DBA USED FOR MARKETING PURPOSES (2) LEGAL REALTY POSITION: Agent/Representative NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 3 START DATE: 11/15/2004 ADDRESS: 1541 The Alameda, San Jose CA 95126, United States DESCRIPTION: REAL ESTATE AGENT - LEGAL REALTY , REAL ESTATE SALES PERSON (3) WINE AFFAIRS POSITION: Officer/Director NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2017 ADDRESS: 1435 The Alameda, San Jose CA 95126, United States DESCRIPTION: 30% PASSIVE OWNER OF WINE AFFAIRS RESTAURANT (4) KOEHLER & ASSOCIATES CPA, INC. POSITION: Officer/Director NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: Yes NUMBER OF HOURS: 140 SECURITIES TRADING HOURS: 100 START DATE: 07/31/1994 ADDRESS: 1541 The Alameda, San Jose CA 95126, United States DESCRIPTION: 100% OWNER OF KOEHLER & ASSOCIATES CPA, INC. PUBLIC ACCOUNTING PRACTICE. (5) INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 4 START DATE: 01/01/2008 ADDRESS: 1541 The Alameda, San Jose CA 95126, United States DESCRIPTION: CA INSURANCE AGENT OFFERING VARIOUS TYPES OF INSURANCE PRODUCTS. (6) RENTAL PROPERTY POSITION: Officer/Director NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 2 START DATE: 01/01/1996 ADDRESS: 3614 Cour de Jeune, San Jose CA 95148, United States DESCRIPTION: OWNER OF RENTAL PROPERTIES. (7) SAVVY CELLAR WINES, INC. POSITION: Officer/Director NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2021 ADDRESS: 750 W. Evelyn Ave, Mountain View CA 94041, United States DESCRIPTION: Serve as treasurer and general ambassador of good will. Assist with Tax and Accounting Reporting. Provide general food and beverage guidance as needed. (8) ALAMEDA BOOKKEEPING SERVICE, LLC POSITION: Officer/Director NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: Yes NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 1 START DATE: 12/01/2022 ADDRESS: 1541 THE ALAMEDA, SAN JOSE CA 95126-2311, United States DESCRIPTION: BOOKKEEPING. (9) MARK R. SHIIBLES LIVING TUST POSITION: Duties being done under CPA business sphere and insurance policy NATURE: Other: INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2022 ADDRESS: 1541 THE ALAMEDA, SAN JOSE CA 95126-2311, United States DESCRIPTION: Professional trustee co-trustee. REAL ESTATE AGENT POSITION: Agent/Representative NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 3 START DATE: 11/15/2004 ADDRESS: 1541 The Alameda, San Jose CA 95126, United States DESCRIPTION: (2) REAL ESTATE AGENT - REAL ESTATE SALES PERSON SINCE 2004. NON INVESTMENT RELATED, APPROX 5% TIME SPENT, BUSINESS CONDUCTED AT OFFICE ADDRESS OF RECORD.
CRS (Client Relationship Summary) - RIA
Click below to view David Richard Koehler's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Richard Koehler'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®
CFP®
Start date: 2010
Experience
Current
August 7, 2008 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1541 The Alameda, San Jose, CA 95126RIA
BD
CRD#: 7717
San Jose, CA
Current
August 6, 2008 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1541 The Alameda, San Jose, CA 95126RIA
BD
CRD#: 7717
San Jose, CA
Past
March 1, 2006 - August 6, 2008
AFA ADVISOR SERVICES LLC
RIA
CRD#: 129104
SAN JOSE, CA
Past
August 30, 2005 - August 6, 2008
AFA FINANCIAL GROUP, LLC
BD
CRD#: 127648
CALABASAS, CA
Past
December 13, 2004 - September 19, 2005
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
DALLAS, TX
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".
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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.RR
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
RR
California(8/6/2008)
IAR
California(8/7/2008)
RR
Connecticut(10/9/2025)
RR
Florida(6/23/2021)
RR
Hawaii(10/9/2025)
RR
Idaho(4/10/2017)
RR
Montana(6/27/2023)
RR
Nevada(8/6/2008)
RR
New Jersey(4/11/2019)
RR
North Carolina(4/24/2015)
RR
Oregon(3/8/2018)
RR
Texas(4/18/2018)
IAR
Texas(4/18/2018)
RR
Washington(5/13/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Mailing Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Phone number
(858) 436-3180
Established
Delaware since 07/09/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
622
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 44,046 |
| AUM (Assets Under Management) | $ 11,322,059,063 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 1 |
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.
