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

Tam Thi Le

Valic Financial Advisors, Inc.BD affiliatedModesto, Cadual registrantIAPD 4634478

Certified Financial Planner

Feed of 09/14/2026

Also filed as Tam Le

At current firm

4 y

since Jan 4, 2022

In the industry

20 y

since Nov 14, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Valic Financial Advisors, Inc. BD affiliated current
since Jan 4, 2022 · Modesto, Ca
Primerica Advisors national BD
Mar 2, 2021 to Nov 24, 2021 · Santa Clara, Ca
Peak American Investment Advisors, Inc. independent RIA
Oct 29, 2020 to Nov 13, 2020 · Marina, Ca
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Aug 27, 2014 to Apr 2, 2019 · Monterey, Ca
Wells Fargo Advisors wirehouse
Jan 12, 2007 to Jul 21, 2014 · Carmel, Ca
M.L. Stern & Co., LLC. unclassified
Sep 19, 2006 to Oct 12, 2006 · Carmel, Ca
Morgan Stanley Dw Inc. unclassified
Nov 16, 2005 to Jun 20, 2006 · Salinas, Ca

Moves

a registration end followed by a registration begin elsewhere

Primerica Advisors to Valic Financial Advisors, Inc.
left Nov 24, 2021, registered Jan 4, 2022 (41 days) · Affiliated broker-dealer or bank to another
Peak American Investment Advisors, Inc. to Primerica Advisors
left Nov 13, 2020, registered Mar 2, 2021 (109 days) · RIA to affiliated broker-dealer or bank
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Peak American Investment Advisors, Inc.
left Apr 2, 2019, registered Oct 29, 2020 (576 days) · Wirehouse to independent RIA
Wells Fargo Advisors to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Jul 21, 2014, registered Aug 27, 2014 (37 days) · Wirehouse to wirehouse
M.L. Stern & Co., LLC. to Wells Fargo Advisors
left Oct 12, 2006, registered Jan 12, 2007 (92 days) · Other
Morgan Stanley Dw Inc. to M.L. Stern & Co., LLC.
left Jun 20, 2006, registered Sep 19, 2006 (91 days) · Other

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: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address