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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

KA WAI CHAN

Advisor at CAPITAL CLIENT GROUP, INC.

SAN ANTONIO, TX | San Antonio, TX

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Search this name across graphsid dfx:ria:192a2fd9-977e-05d6-a784-d4fe7818555c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 26, 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: CAPITAL CLIENT GROUP, INC.
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 23, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Mar 23, 1999
First registration: May 26, 2005
Dual registered: yes, broker-dealer
Other names: SUSANNA CHAN|ka wai chan|SUSANNA KA WAI CHAN|Sue Chan
IAPD individual key: 3185180

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
CAPITAL CLIENT GROUP, INC.	No RAUM reported	Feb 3, 2021	n/a	yes	San Antonio, TX\|SAN ANTONIO, TX	Current employment
AMERICAN BEACON ADVISORS, INC.	Other adviser	Nov 1, 2010	Nov 7, 2017	no	IRVING, TX	Previous registration
INVESCO ADVISERS, INC.	Asset manager	Jan 1, 2010	Jun 5, 2010	no	ATLANTA, GA	Previous registration
INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.	n/a	May 26, 2005	Jan 1, 2010	no	HOUSTON, TX	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
AMERICAN BEACON ADVISORS, INC.	CAPITAL CLIENT GROUP, INC.	Nov 7, 2017	Feb 3, 2021	1,184	Firm change after gap	Other
INVESCO ADVISERS, INC.	AMERICAN BEACON ADVISORS, INC.	Jun 5, 2010	Nov 1, 2010	149	Firm change	Other
INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.	INVESCO ADVISERS, INC.	Jan 1, 2010	Jan 1, 2010	0	Bulk transfer	Other

Relationships

Registered with (4)

→ CAPITAL CLIENT GROUP, INC.Registered adviserregistration: current employment
Feb 3, 2021 to presentfactForm ADV
→ AMERICAN BEACON ADVISORS, INC.Registered adviserregistration: previous registration
Nov 1, 2010 to Nov 7, 2017factForm ADV
→ INVESCO ADVISERS, INC.Registered adviserregistration: previous registration
Jan 1, 2010 to Jun 5, 2010factForm ADV
→ INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
May 26, 2005 to Jan 1, 2010factForm ADV

Dated events

No dated event names this entity yet.