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RIA / WealthAdvisorCertified Financial Planner36 years in industry

LEONARD PAUL COLE

Advisor at TEAM WEALTH & TAX ADVISORS

TEMECULA, CA

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:d31b9a76-e9c5-9861-3ea6-75c2f05a8f43

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 12, 2010 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: TEAM WEALTH & TAX ADVISORS
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, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63
First exam: Feb 1, 1994
First registration: Jan 12, 2010
Dual registered: no
IAPD individual key: 2421588

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
TEAM WEALTH & TAX ADVISORS	Independent wealth	Jul 10, 2020	n/a	yes	TEMECULA, CA	Current employment
AE WEALTH MANAGEMENT, LLC	Bd affiliated wealth	Jul 11, 2016	Oct 29, 2020	no	Temecula, CA	Previous registration
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	Former SEC adviser	Sep 26, 2013	Sep 28, 2016	no	TEMECULA, CA\|SARASOTA, FL	Previous registration
AVANTAX ADVISORY SERVICES	Former SEC adviser	Jan 12, 2010	May 13, 2011	no	TEMECULA, 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
AE WEALTH MANAGEMENT, LLC	TEAM WEALTH & TAX ADVISORS	Oct 29, 2020	Jul 10, 2020	-111	Firm change after gap	RIA to RIA
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	AE WEALTH MANAGEMENT, LLC	Sep 28, 2016	Jul 11, 2016	-79	Firm change after gap	Other
AVANTAX ADVISORY SERVICES	GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	May 13, 2011	Sep 26, 2013	867	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
282580:309411:CA:2020-10-29	Oct 29, 2020	Jul 10, 2020	TEMECULA, CA	Firm change after gap
132070:282580:FL:2016-09-28	Sep 28, 2016	Jul 11, 2016	SARASOTA, FL	Firm change after gap

Relationships

Registered with (4)

→ TEAM WEALTH & TAX ADVISORSRegistered adviserregistration: current employment
Jul 10, 2020 to presentfactForm ADV
→ AE WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jul 11, 2016 to Oct 29, 2020factForm ADV
→ GLOBAL FINANCIAL PRIVATE CAPITAL, INC.Registered adviserregistration: previous registration
Sep 26, 2013 to Sep 28, 2016factForm ADV
→ AVANTAX ADVISORY SERVICESRegistered adviserregistration: previous registration
Jan 12, 2010 to May 13, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d31b9a76-e9c5-9861-3ea6-75c2f05a8f43
First observed: Jan 12, 2010
Last observed: Sep 14, 2026 5 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.

LEONARD PAUL COLE

Advisor at TEAM WEALTH & TAX ADVISORS

TEMECULA, CA

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:d31b9a76-e9c5-9861-3ea6-75c2f05a8f43

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:48 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

TEAM WEALTH & TAX ADVISORS

Independent wealth

Jul 10, 2020

n/a

yes

TEMECULA, CA

Current employment

AE WEALTH MANAGEMENT, LLC

Bd affiliated wealth

Jul 11, 2016

Oct 29, 2020

Temecula, CA

Previous registration

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

Former SEC adviser

Sep 26, 2013

Sep 28, 2016

TEMECULA, CA|SARASOTA, FL

Previous registration

AVANTAX ADVISORY SERVICES

Former SEC adviser

Jan 12, 2010

May 13, 2011

TEMECULA, CA

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

AE WEALTH MANAGEMENT, LLC

TEAM WEALTH & TAX ADVISORS

Oct 29, 2020

Jul 10, 2020

-111

Firm change after gap

RIA to RIA

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

AE WEALTH MANAGEMENT, LLC

Sep 28, 2016

Jul 11, 2016

-79

Firm change after gap

Other

AVANTAX ADVISORY SERVICES

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

May 13, 2011

Sep 26, 2013

867

Firm change after gap

Other

Team

Left

Joined

From

Kind

282580:309411:CA:2020-10-29

Oct 29, 2020

Jul 10, 2020

TEMECULA, CA

Firm change after gap

132070:282580:FL:2016-09-28

Sep 28, 2016

Jul 11, 2016

SARASOTA, FL

Firm change after gap