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Shufan Nmi Cao

Shufan N. Cao

SILVER OAK WEALTH ADVISORS SERVICES
Los Angeles, CA 90024
Some features on this profile are disabled
CRD#: 5004223
Shufan Nmi Cao

Professional summary

Shufan Nmi Cao, CFP®, who also goes by Linda Cao, Shufan Cao, is a registered financial advisor currently at SILVER OAK WEALTH ADVISORS SERVICES, LLC located in Los Angeles, California.

Shufan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Shufan has worked at 2 firms .

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Linda Cao | Shufan Cao

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shufan Nmi Cao's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Start date: 2008

Experience

Current

January 12, 2018 - Present

SILVER OAK WEALTH ADVISORS SERVICES, LLC

Office #1: 10940 Wilshire Blvd Suite 975, Los Angeles, CA 90024
RIA
CRD#: 291645
Los Angeles, CA
Past

June 4, 2009 - March 1, 2018

SILVER OAK WEALTH ADVISORS

RIA
CRD#: 133904
LOS ANGELES, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SO
SILVER OAK WEALTH ADVISORS SERVICES, LLC
SILVER OAK WEALTH ADVISORS SERVICES, LLC

CRD#: 291645 / SEC#: 801-112279

RIA
Registered Investment Advisory firm - (5/8/2018 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
California
(1/12/2018)
IAR
Texas
(11/8/2022)

Exams

Current Firm

SO
SILVER OAK WEALTH ADVISORS SERVICES, LLC
SILVER OAK WEALTH ADVISORS SERVICES, LLC

CRD#: 291645 / SEC#: 801-112279

RIA
Registered Investment Advisory firm - (5/8/2018 Approved)
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Contact information

Main Address
10940 Wilshire Blvd Suite 975, Los Angeles, CA 90024
Mailing Address
Phone number
(310) 207-4800
Established
Firm type
Fiscal year end
# of Employees
7

SEC notice filing (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SILVER OAK WEALTH ADVISORS SERVICES LLC - FORM ADV PART 2A (3/24/2025)

Regulatory assets under management

Total Number of Accounts572
AUM (Assets Under Management)$ 261,905,133

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

SILVER OAK WEALTH ADVISORS SERVICES, LLC

CRD#: 291645Los Angeles, CA 90024

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