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RIA / WealthAdvisorCertified Financial Planner26 years in industry

KARIN TRAM LE

Advisor at PRIVATE ADVISOR GROUP, LLC

El Dorado Hills, CA | MORRISTOWN, NJ

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Search this name across graphsid dfx:ria:2ccbc921-ddc0-bbc3-fd37-3b62e9859a84

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Feb 21, 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: PRIVATE ADVISOR GROUP, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 1, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66
First exam: Feb 17, 2005
First registration: Feb 21, 2005
Dual registered: no
IAPD individual key: 4863863

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
PRIVATE ADVISOR GROUP, LLC	Bd affiliated wealth	Apr 1, 2026	n/a	yes	El Dorado Hills, CA\|MORRISTOWN, NJ	Current employment
BEDELL FRAZIER INVESTMENT COUNSELLING, LLC.	Former SEC adviser	Mar 4, 2026	Apr 6, 2026	no	Roseville, CA\|WALNUT CREEK, CA	Previous registration
CAPITAL PLANNING ADVISORS LLC	Former SEC adviser	Sep 19, 2018	Apr 6, 2026	no	ROSEVILLE, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 3, 2011	Sep 18, 2018	no	EL DORADO HILLS, CA\|CHARLOTTE, NC\|MINNEAPOLIS, MN\|ROSEVILLE, CA\|SACRAMENTO, CA\|MINNEAPOLIS, MN\|MINNEAPOLIS, MN\|EL DORADO HILLS, CA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Feb 21, 2005	Jan 3, 2011	no	ROSEVILLE, CA\|ROSEVILLE, 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
BEDELL FRAZIER INVESTMENT COUNSELLING, LLC.	PRIVATE ADVISOR GROUP, LLC	Apr 6, 2026	Apr 1, 2026	-5	Firm change	RIA to ibd
CAPITAL PLANNING ADVISORS LLC	BEDELL FRAZIER INVESTMENT COUNSELLING, LLC.	Apr 6, 2026	Mar 4, 2026	-33	Firm change after gap	RIA to RIA
WELLS FARGO ADVISORS	CAPITAL PLANNING ADVISORS LLC	Sep 18, 2018	Sep 19, 2018	1	Firm change	Wirehouse to RIA
WELLS FARGO INVESTMENTS, LLC	WELLS FARGO ADVISORS	Jan 3, 2011	Jan 3, 2011	0	Bulk transfer	Other

Relationships

Registered with (5)

→ PRIVATE ADVISOR GROUP, LLCRegistered adviserregistration: current employment
Apr 1, 2026 to presentfactForm ADV
→ BEDELL FRAZIER INVESTMENT COUNSELLING, LLC.Registered adviserregistration: previous registration
Mar 4, 2026 to Apr 6, 2026factForm ADV
→ CAPITAL PLANNING ADVISORS LLCRegistered adviserregistration: previous registration
Sep 19, 2018 to Apr 6, 2026factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 3, 2011 to Sep 18, 2018factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Feb 21, 2005 to Jan 3, 2011factForm ADV

Dated events

Occurred
Apr 6, 2026
Advisor changed firm
Karin Tram Le left Bedell Frazier Investment Counselling, Llc. for Private Advisor Group, Llc (registered 2026-04-01)
Form ADVobserved 4 days ago
Occurred
Apr 6, 2026
Advisor changed firm
Karin Tram Le left Capital Planning Advisors Llc for Bedell Frazier Investment Counselling, Llc. (registered 2026-03-04)
Form ADVobserved 4 days ago