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IO

Iori Y. Omura

WEALTHFRONT ADVISERS LLC
Palo Alto, CA 94301
Some features on this profile are disabled
CRD#: 5778160
IO

Professional summary

Iori Y Omura, CFP®, who also goes by Iori Y Omura, is a registered financial advisor currently at WEALTHFRONT ADVISERS LLC located in Palo Alto, California and WEALTHFRONT BROKERAGE LLC located in Palo Alto, California.

Iori is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Iori has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 99, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Iori Y Omura

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.
1) NOB: CA Dept of Insurance. TITLE: Insurance Agent. START DATE: 05.24.2010. Not Investment Related. 2) Online business that sells digital illustrations and stationary through Etsy. Not investment related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Iori Y Omura'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

Experience

Current

February 22, 2024 - Present

WEALTHFRONT ADVISERS LLC

Office #1: 261 Hamilton Ave., Palo Alto, CA 94301
RIA
CRD#: 148456
Palo Alto, CA
Current

February 14, 2024 - Present

WEALTHFRONT BROKERAGE LLC

Office #1: 261 Hamilton Ave, Palo Alto, CA 94301
BD
CRD#: 153407
Palo Alto, CA
Past

November 3, 2016 - April 1, 2022

WEALTHFRONT ADVISERS LLC

RIA
CRD#: 148456
PALO ALTO, CA
Past

November 3, 2016 - April 1, 2022

WEALTHFRONT BROKERAGE LLC

BD
CRD#: 153407
Palo Alto, CA
Past

September 28, 2011 - November 10, 2015

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
MENLO PARK, CA
Past

September 28, 2011 - November 10, 2015

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
MENLO PARK, CA
Past

April 21, 2010 - August 2, 2011

U.S. BANCORP ADVISORS, LLC

RIA
CRD#: 14455
SAN JOSE, CA
Past

April 21, 2010 - August 2, 2011

U.S. BANCORP ADVISORS, LLC

BD
CRD#: 14455
SAN JOSE, 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".
WA
WEALTHFRONT ADVISERS LLC
KACHING | WEALTHFRONT INC. | WEALTHFRONT ADVISERS LLC | WEALTHFRONT ADVISERS | WEALTHFRONT | THE INVESTING IQ APP | KACHING GROUP, INC | KACHING GROUP INC.

CRD#: 148456 / SEC#: 801-69766

RIA
Registered Investment Advisory firm - (11/21/2008 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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(2/14/2024)
IAR
California
(2/22/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/18/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/30/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 2/8/2017
Operations Professional Examination
General Industry/Product Exam
RR
Series 7
Date: 11/1/2011
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/20/2010
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/14/2020
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

WA
WEALTHFRONT ADVISERS LLC
KACHING | WEALTHFRONT INC. | WEALTHFRONT ADVISERS LLC | WEALTHFRONT ADVISERS | WEALTHFRONT | THE INVESTING IQ APP | KACHING GROUP, INC | KACHING GROUP INC.

CRD#: 148456 / SEC#: 801-69766

RIA
Registered Investment Advisory firm - (11/21/2008 Approved)
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Contact information

Main Address
261 Hamilton Ave., Palo Alto, CA 94301
Mailing Address
Phone number
(855) 695-8437
Established
Firm type
Fiscal year end
# of Employees
402

SEC notice filing (53 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

WRAP BROCHURE OCTOBER 2025 (10/7/2025)
CLIENT BROCHURE OCTOBER 2025 (10/7/2025)
529 PROGRAM BROCHURE OCT 2025 (10/7/2025)

Regulatory assets under management

Total Number of Accounts642,888
AUM (Assets Under Management)$ 42,948,787,664

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/02/2024
Cover Page
Report
01/11/2024
Cover Page
Report
01/03/2023
Cover Page
Report

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

WEALTHFRONT ADVISERS LLC

CRD#: 148456Palo Alto, CA 94301

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