Dinh An Khuong Le

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2026-04-07
CA	RA	APPROVED	2026-02-20

Branch Locations

345 Highland Ave, Piedmont, CA 94611 • United States

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Albany	CA	11/2025	Present
Bank Of America	Berkeley	CA	11/2023	11/2025
Unemployed	Berkeley	CA	05/2023	11/2025
University Of California, Berkeley	Berkeley	CA	08/2021	05/2023
Unemployed	Sunnyvale	CA	06/2021	08/2021
De Anza College Student Success Center	Cupertino	CA	01/2019	04/2021
De Anza College	Cupertino	CA	04/2018	06/2021
Saigon International College	Ho Chi Minh		11/2015	11/2017
Unemployed	Ho Chi Minh		11/2017	04/2018
Newstar Nail Spa	Manteca	CA	11/2023	11/2023
Bank Of America, N.A.	Albany	CA	12/2025	Present

11/2025 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Albany, CA
11/2023 → 11/2025

Bank Of America

Berkeley, CA
05/2023 → 11/2025

Unemployed

Berkeley, CA
08/2021 → 05/2023

University Of California, Berkeley

Berkeley, CA
06/2021 → 08/2021

Unemployed

Sunnyvale, CA
01/2019 → 04/2021

De Anza College Student Success Center

Cupertino, CA
04/2018 → 06/2021

De Anza College

Cupertino, CA
11/2015 → 11/2017

Saigon International College

Ho Chi Minh
11/2017 → 04/2018

Unemployed

Ho Chi Minh
11/2023 → 11/2023

Newstar Nail Spa

Manteca, CA
12/2025 → Present

Bank Of America, N.A.

Albany, CA

Code	Exam	Date
S66	Uniform Combined State Law Examination	2026-02-20

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