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
Eric Luan-Trong Nguyen
Certified Financial Planner
Feed of 09/14/2026
Also filed as Eric Nguyen
At current firm
3 y
since Apr 5, 2023
In the industry
12 y
since Sep 1, 2014 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Oak Harvest Investment Services independent RIA currentsince Apr 5, 2023 · Houston, Tx
- Fidelity Personal And Workplace Advisors formerMay 20, 2021 to Mar 16, 2023 · Houston, Tx
- Thrivent Advisor Network, LLC BD affiliatedJun 26, 2020 to Mar 26, 2021 · Minneapolis, Mn
- Pks Advisory Services, LLC independent RIAJan 29, 2020 to Jul 2, 2020 · Albany, Ny
- Equitable Advisors, LLC national BDOct 14, 2019 to Jan 29, 2020 · Stafford, Tx
Moves
a registration end followed by a registration begin elsewhere
- Fidelity Personal And Workplace Advisors to Oak Harvest Investment Servicesleft Mar 16, 2023, registered Apr 5, 2023 (20 days) · Affiliated broker-dealer or bank to independent RIA
- Thrivent Advisor Network, LLC to Fidelity Personal And Workplace Advisorsleft Mar 26, 2021, registered May 20, 2021 (55 days) · Affiliated broker-dealer or bank to another
- Pks Advisory Services, LLC to Thrivent Advisor Network, LLCleft Jul 2, 2020, registered Jun 26, 2020 (-6 days) · corporate re-registration, not a move
- Equitable Advisors, LLC to Pks Advisory Services, LLCleft Jan 29, 2020, registered Jan 29, 2020 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
Signals
- Eric Luan-Trong Nguyen left Fidelity Personal And Workplace Advisors for Oak Harvest Investment Services (registered 2023-04-05)Mar 16, 2023 · Advisor changed firm · fact
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
- Independent wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address