This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Current firm

COLDSTREAM WEALTH MANAGEMENT

Current firm class

independent wealth managerderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Sep 1, 2007earliest registration or exam on IAPD

Years in industry

19derivedfrom the industry start date

Years at current firm

1derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

1

Designations

Personal Financial Specialist

Exams

S65

First exam

Jul 29, 2008

First registration

Jul 30, 2008

Dual registered

no

IAPD individual key

5569407

• Occurred

  Jan 31, 2025
  Advisor changed firm

  James Dayton Guard left Hbc Financial Services, Pllc for Coldstream Wealth Management (registered 2025-01-21)

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:0062c5d7-0cff-5249-3c02-6333bac708bc

First observed

Jul 30, 2008

Last observed

Sep 14, 2026 7 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.