Damian Palfini

CAVALOT CAPITAL

Truckee, CA 96161

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CRD#: 5652126

Professional summary

Damian Palfini, CFP® is a registered financial advisor currently at CAVALOT CAPITAL located in Truckee, California.

Damian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Damian has worked at 2 firms and has passed the Series 66, Series 7TO, 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Damian Palfini'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^®

Certified Financial Planner

Start date: 2020

Experience

Current

March 12, 2021 - Present

CAVALOT CAPITAL

Office #1: 10266 Truckee Airport Rd Ste C, Truckee, CA 96161

RIA

CRD#: 312088

Truckee, CA

Past

April 6, 2009 - February 26, 2021

OSAIC SERVICES, INC.

CRD#: 133763

REDDING, 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
(7/9/2021)

IAR

Louisiana
(1/25/2022)

IAR

Nevada
(11/21/2024)

IAR

Oregon
(10/25/2022)

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: 4/23/2009

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/22/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/3/2009

General Securities Representative Examination

Current Firm

CAVALOT CAPITAL

CAVALOT CAPITAL | CAVALOT CAPITAL LLC

CRD#: 312088 / SEC#:

California

Registered Investment Advisory firm - (7/9/2021 Approved)

Colorado

Registered Investment Advisory firm - (1/23/2023 Terminated)

Louisiana

Registered Investment Advisory firm - (1/25/2022 Approved)

Nevada

Registered Investment Advisory firm - (5/29/2024 Approved)

Oregon

Registered Investment Advisory firm - (10/25/2022 Approved)

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).

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Contact information

Main Address

10266 Truckee Airport Rd Ste C, Truckee, CA 96161

Mailing Address

Phone number

(720) 238-0153

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	265
AUM (Assets Under Management)	$ 64,070,554

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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Damian Palfini

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Damian Palfini's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAVALOT CAPITAL

OSAIC SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/23/2009

Series 7TO

Date: 12/22/2022

SIE

Date: 10/1/2018

Series 7

Date: 4/3/2009

Current Firm

CAVALOT CAPITAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CAVALOT CAPITAL

TRUST BUT VERIFY

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