MB
Michael A. Bendix
DIVERSIFY ADVISORY SERVICES
Encinitas, CA 92024
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CRD#: 5379777
MB
Professional summary
Michael Allan Bendix is a registered financial advisor currently at DIVERSIFY ADVISORY SERVICES, LLC located in Encinitas, California and DFPG INVESTMENTS, LLC located in Sandy, Utah.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Michael has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 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) ALTERNATIVE AND DIRECT INVESTMENT SECURITIES ASSOCIATION | 10401 NORTH MERIDIAN ST, SUITE 202 INDIANAPOLIS, IN 46290 | SECURITIES RELATED | BOARD OF DIRECTORS | BEGIN DATE: 01/2012 | DURING TRADING HRS/MONTH: 5% 2) Raven 23 CAPITAL,LLC |NON-INVESTMENT RELATED | MEMBER/MANAGER | BEGIN DATE: 01/2023 | DURING TRADING HRS/MONTH: 0% |Private Investment| 3) CREEK 34 CAPITAL, LLC | NON-INVESTMENT RELATED| MANAGER |BEGIN DATE: 6/2017| DURING TRADING HRS/MONTH: 2% | ADMIN WORK| 4) CREEK CAPITAL DENTAL HOLDINGS| NON-INVESTMENT RELATED| BOARD OF DIRECTORS| BEGIN DATE: 6/2017| BOARD MEETINGS/ADMIN WORK| 5) ADVISORY BOARD FOR REAL ASSETS ADVISOR; NON-INVESTMENT RELATED; BOARD MEETINGS; INDUSTRY PUBLICATION; ADVISORY BOARD MEMBER; 07/2019; 1% DURING BUSINESS HOURS; ONCE A YEAR MEETING WITH OTHER BOARD MEMBERS TO DISCUSS CONTENT FOR THE FOLLOWING 12 MONTHS. POSSIBLE FOLLOW UP PHONE CALLS 2-3 TIMES/YEAR. 6) Springwood Capital; Non-Investment Related; 903 Springwood Lane, Encinitas, CA 92024; Holding Company; Sole owner; 09/2019; 0% during business hours; Holding company for personal percentage of ownership of DFPG. Annual tax preparation and entity maintenance. 7) Tweed River, LLC.; Investment Related; Encinitas, California; Holding Company; Passive Investor; 2/2020; 0% during business hours; Tweed River is an LLC in which I am a member. It is an OBA which makes passive investments and my role is simply as a member of the LLC with no active involvement. 8) Rise Up Industries; Non-investment related; via Zoom; Non-profit; Consultant; 04/2022; 1% during business hours; Consulting to the board of directors of a 501(c)3 charity for matters related to its financing, investments and fundraising events.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Allan Bendix'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®
NoneExperience
Current
December 11, 2023 - Present
DIVERSIFY ADVISORY SERVICES, LLC
Office #1: 3205 Violet Ridge, Encinitas, CA 92024RIA
CRD#: 326060
Encinitas, CA
Current
June 3, 2011 - Present
DFPG INVESTMENTS, LLC
Office #1: 9017 S Riverside Drive Suite 210, Sandy, UT 84070BD
CRD#: 155576
Sandy, UT
Past
January 26, 2016 - April 19, 2018
BFY SECURITIES, LLC
BD
CRD#: 187514
YARMOUTH, ME
Past
August 18, 2015 - July 12, 2024
DFPG INVESTMENTS, LLC
RIA
CRD#: 155576
Rancho Santa Fe, CA
Past
October 26, 2009 - April 28, 2011
OMNI BROKERAGE, INC.
BD
CRD#: 16878
ENCINITAS, CA
Past
July 24, 2007 - November 3, 2009
T.R. WINSTON & COMPANY, LLC
BD
CRD#: 10571
LOS ANGELES, CA
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".
DA
DIVERSIFY ADVISORY SERVICES, LLC
ADVANCED WEALTH STRATEGIES GROUP | WESTRIDGE WEALTH STRATEGIES | THS PRIVATE FAMILY OFFICE | THE CRESTWELL GROUP | SPARK FINANCIAL SERVICE | SERRATELLI FINANCIAL GROUP | ROCKY MOUNTAIN WEALTH ADVISORS | RANCHO PRIVATE WEALTH | PROVIDENCE WEALTH ADVISORS | PLATINUM WEALTH GROUP | PATTERSON FINANCIAL SOLUTIONS | PARKVIEW WEALTH ADVISORS | NUCLEUS FINANCIAL GROUP | MARCH FORWARD | LONGHORN FINANCIAL | KLK CAPITAL MANAGEMENT, LLC | KEY ADVISORS WEALTH MANAGEMENT LLC | INVENTA WEALTH ADVISORS | INPAC WEALTH SOLUTIONS | ICONA WEALTH | HARDING FINANCIAL & INSURANCE | GROVE WEALTH ADVISORS | GRIFFIN WEALTH PARTNERS | GRADY CAPITAL GROUP | GOMEZ CORP | GLOBAL WEALTH PARTNERS, INC. | GLIDE FINANCIAL GROUP | GEN 1 FINANCIAL | FULCRUM INVESTMENT SERVICES | FIRST FINANCIAL CENTER OF DALLAS | FINANCIAL RESOURCES INC. | EVERGREEN ADVISOR GROUP | DIVERSIFY, INC. | DIVERSIFY ADVISORY SERVICES, LLC | DIVERSIFY ADVISOR NETWORK | CITY CENTER WEALTH ADVISORS | CIPOLLA FINANCIAL ADVISORS | CAPATA FINANCIAL | BUTLER FINANCIAL ADVISORS | BRIDGE EQUITIES | BOSTON WEALTH ADVISOR GROUP | ASHLAND PACIFIC | ANIMAS CAPITAL MANAGEMENT LLC
CRD#: 326060 / SEC#: 801-128675
RIA
Registered Investment Advisory firm - (8/31/2023 Approved)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
Arizona(3/17/2014)
RR
California(6/3/2011)
IAR
California(12/11/2023)
RR
Colorado(8/29/2014)
RR
Connecticut(10/27/2017)
RR
Delaware(12/10/2013)
RR
District of Columbia(6/19/2015)
RR
Georgia(1/25/2023)
RR
Hawaii(9/16/2020)
RR
Idaho(3/1/2019)
RR
Illinois(9/8/2015)
RR
Kentucky(6/6/2017)
RR
Louisiana(11/5/2012)
RR
Maryland(9/14/2020)
RR
Massachusetts(10/16/2012)
RR
Missouri(3/15/2012)
RR
Nevada(4/11/2016)
RR
New Hampshire(3/22/2016)
RR
New Jersey(9/8/2017)
RR
New Mexico(12/5/2014)
RR
New York(6/27/2011)
RR
Ohio(11/28/2012)
RR
Oregon(7/8/2011)
RR
Pennsylvania(1/29/2025)
RR
Tennessee(3/26/2024)
RR
Texas(8/28/2017)
RR
Utah(6/3/2011)
RR
Vermont(8/14/2023)
RR
Virginia(3/9/2016)
RR
Washington(9/11/2014)
RR
Wyoming(6/28/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
DA
DIVERSIFY ADVISORY SERVICES, LLC
ADVANCED WEALTH STRATEGIES GROUP | WESTRIDGE WEALTH STRATEGIES | THS PRIVATE FAMILY OFFICE | THE CRESTWELL GROUP | SPARK FINANCIAL SERVICE | SERRATELLI FINANCIAL GROUP | ROCKY MOUNTAIN WEALTH ADVISORS | RANCHO PRIVATE WEALTH | PROVIDENCE WEALTH ADVISORS | PLATINUM WEALTH GROUP | PATTERSON FINANCIAL SOLUTIONS | PARKVIEW WEALTH ADVISORS | NUCLEUS FINANCIAL GROUP | MARCH FORWARD | LONGHORN FINANCIAL | KLK CAPITAL MANAGEMENT, LLC | KEY ADVISORS WEALTH MANAGEMENT LLC | INVENTA WEALTH ADVISORS | INPAC WEALTH SOLUTIONS | ICONA WEALTH | HARDING FINANCIAL & INSURANCE | GROVE WEALTH ADVISORS | GRIFFIN WEALTH PARTNERS | GRADY CAPITAL GROUP | GOMEZ CORP | GLOBAL WEALTH PARTNERS, INC. | GLIDE FINANCIAL GROUP | GEN 1 FINANCIAL | FULCRUM INVESTMENT SERVICES | FIRST FINANCIAL CENTER OF DALLAS | FINANCIAL RESOURCES INC. | EVERGREEN ADVISOR GROUP | DIVERSIFY, INC. | DIVERSIFY ADVISORY SERVICES, LLC | DIVERSIFY ADVISOR NETWORK | CITY CENTER WEALTH ADVISORS | CIPOLLA FINANCIAL ADVISORS | CAPATA FINANCIAL | BUTLER FINANCIAL ADVISORS | BRIDGE EQUITIES | BOSTON WEALTH ADVISOR GROUP | ASHLAND PACIFIC | ANIMAS CAPITAL MANAGEMENT LLC
CRD#: 326060 / SEC#: 801-128675
RIA
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Contact information
Main Address
9017 S Riverside Dr. Suite 210, Sandy, UT 84070
Mailing Address
Phone number
(801) 890-7577
Established
Firm type
Fiscal year end
# of Employees
171
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,318 |
| AUM (Assets Under Management) | $ 3,206,698,268 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 |
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.
