Guangming G. Dai

DAI ADVISORS

Fremont, CA

Some features on this profile are disabled

CRD#: 7059603

Professional summary

Guangming George Dai is a registered financial advisor currently at DAI ADVISORS located in Fremont, California.

Guangming is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Guangming has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Currently I am a full-time (40 hours per week) Sr. Principal Research Scientist with Johnson & Johnson Vision, located at 510 Cottonwood Drive, Milpitas, CA 95035. It is not investment-related. The nature of the business is to develop surgical products for cataract and refractive surgery. My primary duty is to design treatment algorithms. This business is not related to my investment advisory work. I am using my spare hours to do my investment advisory service, which amounts to about 20 hours per week.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Guangming George Dai'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®

None

Experience

Current

July 16, 2021 - Present

DAI ADVISORS

RIA

CRD#: 300332

Fremont, CA

Past

February 8, 2019 - January 1, 2021

DAI ADVISORS

RIA

CRD#: 300332

FREMONT, 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".

DAI ADVISORS

DAI ADVISORS | DEPENDABLE ALTERNATIVE INVESTMENTS, LLC | DEPENDABLE ALTERNATIVE INVESTMENT, LLC

CRD#: 300332 / SEC#: 801-118426

RIA

Registered Investment Advisory firm - (4/13/2020 Approved)

California

Registered Investment Advisory firm - (1/1/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(7/16/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/19/2017

Uniform Investment Adviser Law Examination

Current Firm

DAI ADVISORS

DAI ADVISORS | DEPENDABLE ALTERNATIVE INVESTMENTS, LLC | DEPENDABLE ALTERNATIVE INVESTMENT, LLC

CRD#: 300332 / SEC#: 801-118426

RIA

Registered Investment Advisory firm - (4/13/2020 Approved)

California

Registered Investment Advisory firm - (1/1/2021 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Fremont, CA

Mailing Address

3875 Bohannon Drive #4194, Menlo Park, CA 94025

Phone number

(510) 709-7543

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (2/7/2025)

Regulatory assets under management

Total Number of Accounts	577
AUM (Assets Under Management)	$ 244,444,852

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Guangming G. Dai

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Guangming George Dai's CRS (Customer Relationship Summary).

Certified licenses

Experience

DAI ADVISORS

DAI ADVISORS

Primary Firm SEC Registration

DAI ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 12/19/2017

Current Firm

DAI ADVISORS

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DAI ADVISORS

TRUST BUT VERIFY

Similar Advisors