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DP

David A. Potts

DIXON FINANCIAL SERVICES
LAFAYETTE, CA
Some features on this profile are disabled
CRD#: 6869818
DP

Professional summary

David Alexander Potts is a registered financial advisor currently at DIXON FINANCIAL SERVICES located in Lafayette, California.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. David has worked at 3 firms and has passed the Series 66, 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Alexander Potts'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®
None

Experience

Current

April 10, 2026 - Present

DIXON FINANCIAL SERVICES

RIA
CRD#: 107166
LAFAYETTE, CA
Past

July 30, 2018 - January 28, 2026

DIMENSIONAL FUND ADVISORS LP

RIA
CRD#: 106482
AUSTIN, TX
Past

February 20, 2018 - January 28, 2026

DFA SECURITIES LLC

BD
CRD#: 10292
AUSTIN, 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".
DF
DIXON FINANCIAL SERVICES
DIXON FINANCIAL SERVICES | DIXON FINANCIAL SERVICES INC

CRD#: 107166 / SEC#: 801-40910

RIA
Registered Investment Advisory firm - (6/25/1992 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.

Highlighted states indicate IAR registrations

IAR
California
(4/10/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/27/2018
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/20/2018
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/5/2024
General Securities Principal Examination

Current Firm

DF
DIXON FINANCIAL SERVICES
DIXON FINANCIAL SERVICES | DIXON FINANCIAL SERVICES INC

CRD#: 107166 / SEC#: 801-40910

RIA
Registered Investment Advisory firm - (6/25/1992 Approved)
PREMIUM
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Contact information

Main Address
Lafayette, CA
Mailing Address
Phone number
(925) 283-3104
Established
Firm type
Fiscal year end
# of Employees
4

SEC notice filing (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

DIXON FINANCIAL SERVICES, INC. ADV PART 2 BROCHURE (2/6/2025)

Regulatory assets under management

Total Number of Accounts318
AUM (Assets Under Management)$ 914,416,705

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.

Company Information

DIXON FINANCIAL SERVICES

CRD#: 107166Lafayette, CA

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