DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Oliver Y Tao
Feed of 09/14/2026
At current firm
12 y
since Jan 21, 2014
In the industry
26 y
since Dec 17, 1999 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Cetera Investment Advisers LLC BD affiliated currentsince Jan 21, 2014 · Pasadena, Ca
- Cetera Investment Services LLC formerNov 9, 2012 to May 31, 2013 · El Monte, Ca
- Cetera Advisor Networks LLC formerMar 3, 2011 to Nov 16, 2012 · Seal Beach, Ca
- Chase Investment Services Corp. formerMay 2, 2009 to May 15, 2009 · Irvine, Ca
- Wamu Investments, Inc. unclassifiedNov 19, 2008 to May 2, 2009 · Irvine, Ca
Moves
a registration end followed by a registration begin elsewhere
- Cetera Investment Services LLC to Cetera Investment Advisers LLCleft May 31, 2013, registered Jan 21, 2014 (235 days) · Other
- Cetera Advisor Networks LLC to Cetera Investment Services LLCleft Nov 16, 2012, registered Nov 9, 2012 (-7 days) · channel change inside one enterprise, not a move
- Chase Investment Services Corp. to Cetera Advisor Networks LLCleft May 15, 2009, registered Mar 3, 2011 (657 days) · Other
- Wamu Investments, Inc. to Chase Investment Services Corp.left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address