DFX Intelligence

Data Factory

RIA / WealthAdvisor22 years in industry

DAVID ROLAND MONGEAU

Advisor at CHESS FINANCIAL PLANNING LLC

SPRINGVALE, ME

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:b9b39029-463d-498a-659c-fb9145759a31

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Mar 15, 2004 to Sep 14, 2026

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CHESS FINANCIAL PLANNING LLC
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 15, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jun 18, 2016
First registration: Mar 15, 2004
Dual registered: no
IAPD individual key: 4441763

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CHESS FINANCIAL PLANNING LLC	State registered	Mar 20, 2018	n/a	yes	SPRINGVALE, ME	Current employment
THE WEALTH CONSULTING GROUP	Independent wealth	Dec 8, 2021	Feb 24, 2022	no	Santa Rosa, CA\|LAS VEGAS, NV	Previous registration
INDEPENDENT FINANCIAL GROUP, LLC	Bd affiliated wealth	May 22, 2017	Mar 16, 2018	no	Santa Rosa, CA\|SAN DIEGO, CA\|Sacramento, CA	Previous registration
CHESS FINANCIAL PLANNING LLC	n/a	Jan 27, 2017	Jun 22, 2017	no	SANTA ROSA, CA	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Oct 20, 2004	Feb 14, 2005	no	OLDTOWN, ME	Previous registration
QUICK & REILLY, INC.	n/a	Mar 15, 2004	Oct 20, 2004	no	BANGOR, ME	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
THE WEALTH CONSULTING GROUP	n/a	Feb 24, 2022	n/a	n/a	Departure no registered destination	Departure
INDEPENDENT FINANCIAL GROUP, LLC	CHESS FINANCIAL PLANNING LLC	Mar 16, 2018	Mar 20, 2018	4	Firm change	Other
CHESS FINANCIAL PLANNING LLC	INDEPENDENT FINANCIAL GROUP, LLC	Jun 22, 2017	May 22, 2017	-31	Firm change after gap	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	CHESS FINANCIAL PLANNING LLC	Feb 14, 2005	Jan 27, 2017	4,365	Firm change after gap	Other
QUICK & REILLY, INC.	BANC OF AMERICA INVESTMENT SERVICES, INC.	Oct 20, 2004	Oct 20, 2004	0	Bulk transfer	Other

Relationships

Registered with (6)

→ CHESS FINANCIAL PLANNING LLCRegistered adviserregistration: current employment
Mar 20, 2018 to presentfactForm ADV
→ THE WEALTH CONSULTING GROUPRegistered adviserregistration: previous registration
Dec 8, 2021 to Feb 24, 2022factForm ADV
→ INDEPENDENT FINANCIAL GROUP, LLCRegistered adviserregistration: previous registration
May 22, 2017 to Mar 16, 2018factForm ADV
→ CHESS FINANCIAL PLANNING LLCRegistered adviserregistration: previous registration
Jan 27, 2017 to Jun 22, 2017factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Oct 20, 2004 to Feb 14, 2005factForm ADV
→ QUICK & REILLY, INC.Registered adviserregistration: previous registration
Mar 15, 2004 to Oct 20, 2004factForm ADV

Dated events

Occurred
Feb 24, 2022
Advisor departed, no destination yet
David Roland Mongeau no longer registered at The Wealth Consulting Group; no later IA registration on IAPD
Form ADVobserved 6 days ago