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RIA / WealthAdvisorCertified Financial Planner25 years in industry

LISA ANN NEFF

Advisor at CERITY PARTNERS LLC

SANTA BARBARA, CA | NEW YORK, NY

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Search this name across graphsid dfx:ria:e70fb18b-b2ad-adef-61ea-d38bb2d690ad

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Oct 18, 2011 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: CERITY PARTNERS LLC
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: Aug 6, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 2
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S66
First exam: Aug 6, 2001
First registration: Oct 18, 2011
Dual registered: no
Other names: LISA ANN FALLGREN
IAPD individual key: 4251021

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
CERITY PARTNERS RETIREMENT PLAN CONSULTANTS	Institutional manager	Apr 1, 2025	n/a	yes	SANTA BARBARA, CA\|NEW YORK, NY	Current employment
CERITY PARTNERS LLC	Independent wealth	Apr 1, 2025	n/a	yes	SANTA BARBARA, CA\|NEW YORK, NY	Current employment
WEST COAST FINANCIAL, LLC	Former SEC adviser	Sep 23, 2015	Apr 4, 2025	no	SANTA BARBARA, CA	Previous registration
ALPHA TITANS LLC	Former SEC adviser	Aug 5, 2013	Mar 13, 2015	no	SANTA BARBARA, CA	Previous registration
PARTNERVEST ADVISORY SERVICES LLC	Former SEC adviser	Oct 18, 2011	Jun 11, 2012	no	SANTA BARBARA, 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
WEST COAST FINANCIAL, LLC	CERITY PARTNERS RETIREMENT PLAN CONSULTANTS	Apr 4, 2025	Apr 1, 2025	-3	Firm change	Other
ALPHA TITANS LLC	WEST COAST FINANCIAL, LLC	Mar 13, 2015	Sep 23, 2015	194	Firm change	Other
PARTNERVEST ADVISORY SERVICES LLC	ALPHA TITANS LLC	Jun 11, 2012	Aug 5, 2013	420	Firm change after gap	Other

Relationships

Registered with (5)

→ CERITY PARTNERS LLCRegistered adviserregistration: current employment
Apr 1, 2025 to presentfactForm ADV
→ CERITY PARTNERS RETIREMENT PLAN CONSULTANTSRegistered adviserregistration: current employment
Apr 1, 2025 to presentfactForm ADV
→ WEST COAST FINANCIAL, LLCRegistered adviserregistration: previous registration
Sep 23, 2015 to Apr 4, 2025factForm ADV
→ ALPHA TITANS LLCRegistered adviserregistration: previous registration
Aug 5, 2013 to Mar 13, 2015factForm ADV
→ PARTNERVEST ADVISORY SERVICES LLCRegistered adviserregistration: previous registration
Oct 18, 2011 to Jun 11, 2012factForm ADV

Dated events

Occurred
Apr 4, 2025
Advisor changed firm
Lisa Ann Neff left West Coast Financial, Llc for Cerity Partners Retirement Plan Consultants (registered 2025-04-01)
Form ADVobserved 4 days ago