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RIA / WealthAdvisorCertified Financial Planner21 years in industry

Alexis Cole

Advisor at CALIFORNIA CAPITAL MANAGEMENT

Black Mountain, NC

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Search this name across graphsid dfx:ria:cfd6bcd0-de3c-4c49-447f-b0c47af9334e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 18, 2005 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: CALIFORNIA CAPITAL 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: Jan 14, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66
First exam: Jan 14, 2005
First registration: Jan 18, 2005
Dual registered: no
Other names: ALEXIS IRENE COLE
IAPD individual key: 4794870

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
CALIFORNIA CAPITAL MANAGEMENT	Independent wealth	Jan 21, 2025	n/a	yes	Black Mountain, NC	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Nov 12, 2013	Nov 12, 2014	no	NORTH HOLLYWOOD, CA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Sep 10, 2013	Nov 27, 2013	no	TORRANCE, CA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Jan 18, 2005	Oct 14, 2011	no	NORTH HOLLYWOOD, CA\|WOODLAND HILLS, CA	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
LPL FINANCIAL LLC	CALIFORNIA CAPITAL MANAGEMENT	Nov 12, 2014	Jan 21, 2025	3,723	Firm change after gap	Other
AMERIPRISE FINANCIAL SERVICES, LLC	LPL FINANCIAL LLC	Nov 27, 2013	Nov 12, 2013	-15	Firm change	Other
LPL FINANCIAL LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Oct 14, 2011	Sep 10, 2013	697	Firm change after gap	Other

Relationships

Registered with (3)

→ CALIFORNIA CAPITAL MANAGEMENTRegistered adviserregistration: current employment
Jan 21, 2025 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Nov 12, 2013 to Nov 12, 2014factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Sep 10, 2013 to Nov 27, 2013factForm ADV

Dated events

No dated event names this entity yet.