David James Backens

Financial advisor at Certis Capital Management, Inc.

Last updated 2026-10-10

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David James Backens is a financial advisor at Certis Capital Management, Inc., CRD 5873523. Licenses and exams on the registration: Series 65, Series 63. IAPD registration began 2010-12-23.

Registration

CRD number
5873523
Registration status
Active
IAPD registration
2010-12-23
Industry Experience
15 years
Work Experience
20 years
States registered
CA

Licenses and exams

  • Series 65
  • Series 63

Work history

  • 2006-05 to Present · Certis Capital Management, Inc. · Santa Barbara, CA
  • 2016-09 to Present · Merus Advisors, LLC · Santa Barbara, CA
  • 2024-09 to Present · Finalis Securities LLC · New York, NY
  • 2021-09 to Present · Amet Partners Gp, LLC · Santa Barbara, CA

Current employment

SEC IAPD record for David James Backens

Certis Capital Management, Inc.

Regulatory AUM
$255,928,370
Registered advisors
3
Offices
2
Average AUM per client
$8.3M (Moderate)
High-net-worth client ratio
100.0% (Very high)

Certis Capital Management, Inc.: advisors, services and reported ETF investments

About

David James Backens is a financial advisor at Certis Capital Management, Inc.. Reported securities licenses include Series 65 and Series 63. The latest record indicates 15 years of industry experience and 20 years of reported work history. Reported roles include Finalis Securities LLC, Amet Partners Gp, LLC, among others.

SEC disclosures list additional business and community activities: 1: 2; 3.

Certis Capital Management, Inc.'s firm-level Form ADV reports 3 advisors across 2 offices; approximately 10.3 clients per advisor, average assets per client of $8,255,754, and regulatory AUM of $255.9M; client categories including High net worth individuals; services including Financial Planning Services, Portfolio Management: Individuals and Small Businesses, Selection of Other Advisers.

What this firm offers

Filed by Certis Capital Management, Inc. on Form ADV.

Client services

  • Financial Planning Services
  • Individuals and Small Businesses
  • Selection of Other Advisers

Fee options

  • Percentage of Assets Under Management
  • Fixed Fees (Other Than Subscription)

Business and affiliations

  • Engaged in Other Business
  • Other Business Is Primary Business
  • Sells Non-Advisory Products or Services
  • Other Investment Adviser (Incl. Financial
  • Sponsor or GP of Pooled Investment Vehicl

Contact

The firm's filed contact details.

Official record

View the official SEC IAPD record

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