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RIA / WealthAdvisor10 years in industry

Lucas Andrew Mosher

Advisor at SP ASSET MANAGEMENT LLC

CUPERTINO, CA

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Search this name across graphsid dfx:ria:eabd5f0c-0a0b-567d-6229-e67d698273c6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 27, 2016 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: SP ASSET MANAGEMENT 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: Feb 24, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S65|S66|S63
First exam: Feb 24, 2016
First registration: Jun 27, 2016
Dual registered: no
IAPD individual key: 6597693

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
SP ASSET MANAGEMENT LLC	Independent wealth	Feb 1, 2023	n/a	yes	CUPERTINO, CA	Current employment
SP ASSET MANAGEMENT	Former SEC adviser	Jul 18, 2022	Mar 30, 2023	no	Cupertino, CA\|CUPERTINO, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Sep 9, 2016	Jun 25, 2018	no	MENLO PARK, CA\|SAN LEANDRO, CA	Previous registration
NB WEALTH MANAGEMENT LLC	Former SEC adviser	Jun 27, 2016	Aug 25, 2016	no	SAN FRANCISCO, 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
SP ASSET MANAGEMENT	SP ASSET MANAGEMENT LLC	Mar 30, 2023	Feb 1, 2023	-57	Channel change	RIA to RIA
WELLS FARGO ADVISORS	SP ASSET MANAGEMENT	Jun 25, 2018	Jul 18, 2022	1,484	Firm change after gap	Wirehouse to RIA
NB WEALTH MANAGEMENT LLC	WELLS FARGO ADVISORS	Aug 25, 2016	Sep 9, 2016	15	Firm change	Other

Relationships

Registered with (4)

→ SP ASSET MANAGEMENT LLCRegistered adviserregistration: current employment
Feb 1, 2023 to presentfactForm ADV
→ SP ASSET MANAGEMENTRegistered adviserregistration: previous registration
Jul 18, 2022 to Mar 30, 2023factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Sep 9, 2016 to Jun 25, 2018factForm ADV
→ NB WEALTH MANAGEMENT LLCRegistered adviserregistration: previous registration
Jun 27, 2016 to Aug 25, 2016factForm ADV

Dated events

No dated event names this entity yet.