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JM

James Ryan Moody

CRD# 5379643·Registered 2007 - 2022

Previously Registered: Being a previously registered professional could mean that James is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

James Ryan Moody was a registered financial advisor. James was a previously registered financial professional and started their career in finance 2007 - 2022. James had worked at 4 firms and has passed the Series 66, Series 82TO, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

19 years in the financial services industry

Current & Past Employments

UPWELLING CAPITAL GROUP LLC·CRD# 164653

RIA

Davis, CA

January 19, 2017 - June 9, 2022

UPWELLING CAPITAL GROUP LLC·CRD# 164653

RIA

Davis, CA

December 23, 2016 - December 31, 2016

BRIDGE CAPITAL ASSOCIATES, INC.·CRD# 143475

BD

Davis, CA

September 13, 2016 - January 25, 2022

FARMERS FINANCIAL SOLUTIONS, LLC·CRD# 103863

BD

Aptos, CA

October 16, 2013 - August 7, 2015

OSAIC FA, INC.·CRD# 3978

RIA

Irvine, CA

August 24, 2007 - August 5, 2013

OSAIC FA, INC.·CRD# 3978

BD

Irvine, CA

August 24, 2007 - August 5, 2013

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Current Firm

UC

UPWELLING CAPITAL GROUP LLC

UPWELLING CAPITAL GROUP LLC

CRD#: 164653 / SEC#: 802-132842

RIA

Registered Investment Advisory firm - SEC (3/26/2025 Terminated)

California

Registered Investment Advisory firm - California (4/30/2023 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).

Contact Information

Main Address

2820 5th St., Davis, CA 95618

Phone Number

(530) 758-7888

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2 A AND B (3/29/2024)

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
SEC	ERA - Active	4/23/2025

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

Upwelling Capital Group, LLC. 2800 5th St Davis CA 95618 (530) 758 - 7888 Upwelling Capital Group is an advisory and investment management firm that provides customized strategies and solutions to for institutional alternative investors. We provide our clients and investors with analytics to evaluate new investment strategies, specific funds or direct investment opportunities. In addition, we address and provide solutions to legacy asset concerns. Started April 2016. Investment related. Associate. I analyze private equity portfolios to find critical issues and problematic investments within a portfolio and create presentations detailing analysis to highlight key issues. Occasionally, I communicate with third parties to gather information for analysis and/or clarify questions about the analysis. 160 hours per month until October 2016, then 80 hours per month from October 2016 through June 2017 while I finish my MBA. Starting June 2017, I plan to return to 160 hours per month. All during business hours.

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State Registrations and Notice Filings

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

This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Jul 2007About the Series 66 exam

Series 82TO — Limited Representative-Private Securities Offerings

Passed Jan 2023About the Series 82TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Aug 2007About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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JM

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