Caleb James Richmond
Investment Adviser Representative at Woodward Diversified Capital, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Caleb James Richmond is an investment adviser representative with Woodward Diversified Capital, LLC in Bakersfield, CA, where they have been registered since 2022. They have worked in the securities industry since 2020 and were previously registered with Ameriprise Financial Services, LLC. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in California.
Office
Advisors at this office: 4
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- California
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Ameriprise Financial Services, IncAug 2018 – Dec 2020Bakersfield, CA
- Bakersfield Country ClubJul 2014 – Aug 2018Bakersfield, CA
- Woodward Diversified CapitalDec 2020 – no end date reportedBakersfield, CA
Official records & sources
Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Woodward Diversified Capital, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Performance-based fees
- Estimated blended rate
- 0.0125
- $0 to $999,9991.25%
- $1,000,000 to $6,999,9991.00%
- Above $7,000,0000.90%
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Finding unique opportunities that complement traditional investment classes and capitalize on both sides of balance sheet opportunities, tailored to each investor's personal objectives
Client types the firm serves
Firm assets under management
$500M–$1B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 4
- Offices listed on AdvisorFinder:
- 1
- Main office:
- Bakersfield, CA
- SEC file number:
- 801-117741
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 22, 2026
View full firm profileOther advisors at Woodward Diversified Capital, LLC
3 other advisors in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Caleb James Richmond has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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