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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)20 years in industry

HELEN DAO

Advisor at STIRLINGSHIRE INVESTMENTS

NEW YORK, NY | San Antonio, TX

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Search this name across graphsid dfx:ria:eb549fde-327d-fdab-bbe1-98f9e9088ca1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Sep 6, 2006 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: STIRLINGSHIRE INVESTMENTS
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: Sep 5, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Sep 5, 2006
First registration: Sep 6, 2006
Dual registered: yes, broker-dealer
IAPD individual key: 5107692

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
STIRLINGSHIRE INVESTMENTS	Independent wealth	Nov 20, 2024	n/a	yes	NEW YORK, NY\|San Antonio, TX	Current employment
MONEY CONCEPTS ADVISORY SERVICE	Bd affiliated wealth	Jan 14, 2013	Dec 17, 2024	no	PALM BEACH GARDENS, FL\|PALM BEACH GARDENS, FL\|Shavano Park, TX\|San Antonio, TX	Previous registration
VSR ADVISORY SERVICES	Former SEC adviser	Jun 22, 2012	Dec 31, 2012	no	BOERNE, TX\|OVERLAND PARK, KS	Previous registration
SIGNATOR INVESTORS, INC.	Former SEC adviser	Jan 17, 2012	Jun 28, 2012	no	SAN ANTONIO, TX\|SOUTHFIELD, MI	Previous registration
THRIVENT INVESTMENT MANAGEMENT INC.	Bd affiliated wealth	Apr 17, 2009	May 5, 2011	no	IRVING, TX\|SAN ANTONIO, TX\|Houston, TX	Previous registration
USAA INVESTMENT SERVICES COMPANY	No RAUM reported	Oct 1, 2007	Feb 26, 2009	no	SAN ANTONIO, TX\|SAN ANTONIO, TX	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Sep 6, 2006	Aug 9, 2007	no	SUGAR LAND, TX	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
MONEY CONCEPTS ADVISORY SERVICE	STIRLINGSHIRE INVESTMENTS	Dec 17, 2024	Nov 20, 2024	-27	Firm change	Ibd to RIA
VSR ADVISORY SERVICES	MONEY CONCEPTS ADVISORY SERVICE	Dec 31, 2012	Jan 14, 2013	14	Firm change	Other
SIGNATOR INVESTORS, INC.	VSR ADVISORY SERVICES	Jun 28, 2012	Jun 22, 2012	-6	Firm change	Other
THRIVENT INVESTMENT MANAGEMENT INC.	SIGNATOR INVESTORS, INC.	May 5, 2011	Jan 17, 2012	257	Firm change	Other
USAA INVESTMENT SERVICES COMPANY	THRIVENT INVESTMENT MANAGEMENT INC.	Feb 26, 2009	Apr 17, 2009	50	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	USAA INVESTMENT SERVICES COMPANY	Aug 9, 2007	Oct 1, 2007	53	Firm change	Other

Relationships

Registered with (7)

→ STIRLINGSHIRE INVESTMENTSRegistered adviserregistration: current employment
Nov 20, 2024 to presentfactForm ADV
→ MONEY CONCEPTS ADVISORY SERVICERegistered adviserregistration: previous registration
Jan 14, 2013 to Dec 17, 2024factForm ADV
→ VSR ADVISORY SERVICESRegistered adviserregistration: previous registration
Jun 22, 2012 to Dec 31, 2012factForm ADV
→ SIGNATOR INVESTORS, INC.Registered adviserregistration: previous registration
Jan 17, 2012 to Jun 28, 2012factForm ADV
→ THRIVENT INVESTMENT MANAGEMENT INC.Registered adviserregistration: previous registration
Apr 17, 2009 to May 5, 2011factForm ADV
→ USAA INVESTMENT SERVICES COMPANYRegistered adviserregistration: previous registration
Oct 1, 2007 to Feb 26, 2009factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Sep 6, 2006 to Aug 9, 2007factForm ADV

Dated events

Occurred
Dec 17, 2024
Advisor changed firm
Helen Dao left Money Concepts Advisory Service for Stirlingshire Investments (registered 2024-11-20)
Form ADVobserved 5 days ago