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
Keo Cal Chao
Certified Financial Planner
Feed of 09/14/2026
At current firm
5 y
since Mar 8, 2021
In the industry
19 y
since Mar 5, 2007 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Point4ward Financial Planning state registered currentsince Mar 8, 2021 · Walnut Creek, Ca
- Pruco Securities, LLC no RAUMApr 2, 2018 to Jan 28, 2021 · Walnut Creek, Ca
- Securities America Advisors, Inc. formerDec 8, 2016 to Nov 30, 2017 · Saratoga, Ca
- Foothill Securities, Inc. formerJun 5, 2015 to Dec 8, 2016 · Saratoga, Ca
- LPL Financial LLC BD affiliatedApr 30, 2014 to Sep 25, 2014 · Santa Clara, Ca
- RBC Capital Markets, LLC national BDNov 9, 2010 to Jun 13, 2013 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- Pruco Securities, LLC to Point4ward Financial Planningleft Jan 28, 2021, registered Mar 8, 2021 (39 days) · Affiliated broker-dealer or bank to a state-registered adviser
- Securities America Advisors, Inc. to Pruco Securities, LLCleft Nov 30, 2017, registered Apr 2, 2018 (123 days) · Other
- Foothill Securities, Inc. to Securities America Advisors, Inc.left Dec 8, 2016, registered Dec 8, 2016 (0 days) · Other · moved with a team
- LPL Financial LLC to Foothill Securities, Inc.left Sep 25, 2014, registered Jun 5, 2015 (253 days) · Other
- RBC Capital Markets, LLC to LPL Financial LLCleft Jun 13, 2013, registered Apr 30, 2014 (321 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
- STATE REGISTEREDderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address