DFX Intelligence

Data Factory

RIA / WealthAdvisorCertified Financial Planner24 years in industry

Stephen In Hee Lee

Advisor at RWA WEALTH PARTNERS

Costa Mesa, CA | BOSTON, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:147b5da3-8401-883c-9830-b7ad9b46cc43

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 2
On other graphs: 0
Observed: Sep 8, 2005 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: RWA WEALTH PARTNERS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 10, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 9
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66|S63
First exam: Apr 10, 2002
First registration: Sep 8, 2005
Dual registered: no
Other names: IN HEE LEE|STEPHEN IN HEE LEE|IN HEE LEE
IAPD individual key: 4477779

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
RWA WEALTH PARTNERS	Independent wealth	Nov 3, 2023	n/a	yes	Costa Mesa, CA\|BOSTON, MA	Current employment
POLARIS WEALTH ADVISORY GROUP	Former SEC adviser	Jan 19, 2023	Nov 7, 2023	no	Costa Mesa, CA	Previous registration
Mariner	Bd affiliated wealth	Apr 5, 2021	Sep 28, 2022	no	El Segundo, CA	Previous registration
MERCER GLOBAL ADVISORS INC.	Independent wealth	Aug 23, 2019	Oct 21, 2020	no	Newport Beach, CA	Previous registration
EMPIRICAL WEALTH MANAGEMENT	Independent wealth	Aug 3, 2018	Jun 4, 2019	no	Irvine, CA\|SEATTLE, WA	Previous registration
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Former SEC adviser	Apr 21, 2018	Jul 20, 2018	no	TUSTIN, CA\|MISSION VIEJO, CA\|NEWPORT BEACH, CA	Previous registration
ADVICE AND PLANNING SERVICES	Bd affiliated wealth	Feb 6, 2013	Mar 18, 2018	no	NEWPORT BEACH, CA	Previous registration
U.S. BANCORP ADVISORS, LLC	Bd affiliated wealth	Feb 11, 2008	Mar 22, 2010	no	Newport Beach, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Oct 26, 2006	Jan 28, 2008	no	TUSTIN, CA\|LOS ANGELES, CA\|IRVINE, CA\|IRVINE, CA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Sep 8, 2005	Sep 26, 2006	no	COSTA MESA, CA\|COSTA MESA, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
POLARIS WEALTH ADVISORY GROUP	RWA WEALTH PARTNERS	Nov 7, 2023	Nov 3, 2023	-4	Firm change	RIA to RIA
Mariner	POLARIS WEALTH ADVISORY GROUP	Sep 28, 2022	Jan 19, 2023	113	Firm change	Ibd to RIA
MERCER GLOBAL ADVISORS INC.	Mariner	Oct 21, 2020	Apr 5, 2021	166	Firm change	RIA to ibd
EMPIRICAL WEALTH MANAGEMENT	MERCER GLOBAL ADVISORS INC.	Jun 4, 2019	Aug 23, 2019	80	Firm change	RIA to RIA
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	EMPIRICAL WEALTH MANAGEMENT	Jul 20, 2018	Aug 3, 2018	14	Firm change	Ibd to RIA
ADVICE AND PLANNING SERVICES	BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Mar 18, 2018	Apr 21, 2018	34	Firm change	Other
U.S. BANCORP ADVISORS, LLC	ADVICE AND PLANNING SERVICES	Mar 22, 2010	Feb 6, 2013	1,052	Firm change after gap	Other
WELLS FARGO ADVISORS	U.S. BANCORP ADVISORS, LLC	Jan 28, 2008	Feb 11, 2008	14	Firm change	Other
WELLS FARGO INVESTMENTS, LLC	WELLS FARGO ADVISORS	Sep 26, 2006	Oct 26, 2006	30	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
158718:156984:CA:2023-11-07	Nov 7, 2023	Nov 3, 2023	COSTA MESA, CA	Firm change

Relationships

Registered with (10)

→ RWA WEALTH PARTNERSRegistered adviserregistration: current employment
Nov 3, 2023 to presentfactForm ADV
→ POLARIS WEALTH ADVISORY GROUPRegistered adviserregistration: previous registration
Jan 19, 2023 to Nov 7, 2023factForm ADV
→ MARINERRegistered adviserregistration: previous registration
Apr 5, 2021 to Sep 28, 2022factForm ADV
→ MERCER GLOBAL ADVISORS INC.Registered adviserregistration: previous registration
Aug 23, 2019 to Oct 21, 2020factForm ADV
→ EMPIRICAL WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Aug 3, 2018 to Jun 4, 2019factForm ADV
→ BANCWEST INVESTMENT SERVICES, INC. (BWIS)Registered adviserregistration: previous registration
Apr 21, 2018 to Jul 20, 2018factForm ADV
→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: previous registration
Feb 6, 2013 to Mar 18, 2018factForm ADV
→ U.S. BANCORP ADVISORS, LLCRegistered adviserregistration: previous registration
Feb 11, 2008 to Mar 22, 2010factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Oct 26, 2006 to Jan 28, 2008factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Sep 8, 2005 to Sep 26, 2006factForm ADV

Dated events

Occurred
Nov 7, 2023
Advisor changed firm
Stephen In Hee Lee left Polaris Wealth Advisory Group for Rwa Wealth Partners (registered 2023-11-03)
Form ADVobserved 6 days ago
Occurred
Sep 28, 2022
Advisor changed firm
Stephen In Hee Lee left Mariner for Polaris Wealth Advisory Group (registered 2023-01-19)
Form ADVobserved 6 days ago