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RIA / WealthAdvisor22 years in industry

Catherine Gao Hsu

Advisor at MAGNOLIA CAPITAL ASSET MANAGEMENT LLC

IRVINE, CA

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Search this name across graphsid dfx:ria:1de4259c-324d-2902-59e1-9f11d1360157

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Mar 15, 2004 to Sep 14, 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: MAGNOLIA CAPITAL ASSET MANAGEMENT LLC
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 4, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Mar 4, 2004
First registration: Mar 15, 2004
Dual registered: no
Other names: CATHERINE GAO|XIAOHONG GAO|CATHERINE GAO|catherine gao hsu
IAPD individual key: 4738294

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
MAGNOLIA CAPITAL ASSET MANAGEMENT LLC	State registered	Nov 10, 2022	n/a	yes	IRVINE, CA	Current employment
COLORADO FINANCIAL SERVICE CORPORATION	Former SEC adviser	Feb 10, 2017	Apr 4, 2022	no	Irvine, CA\|CENTENNIAL, CO\|Irvine, CA\|Irvine, CA	Previous registration
ALPHA STRATEGIES INVESTMENT CONSULTING	State registered	Apr 1, 2015	Jan 18, 2017	no	LADERA RANCH, CA	Previous registration
Spc	Bd affiliated wealth	Nov 22, 2011	Jun 13, 2012	no	ROWLAND HEIGHTS, CA	Previous registration
Spc	Bd affiliated wealth	Sep 8, 2010	Jul 18, 2011	no	ROWLAND HEIGHTS, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Apr 16, 2007	Jun 19, 2009	no	PASADENA, CA\|CITY OF INDUSTRY, CA\|NEW YORK, NY\|PASADENA, CA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Apr 17, 2007	no	BREA, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Mar 15, 2004	Apr 2, 2007	no	BREA, CA\|BREA, 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
COLORADO FINANCIAL SERVICE CORPORATION	MAGNOLIA CAPITAL ASSET MANAGEMENT LLC	Apr 4, 2022	Nov 10, 2022	220	Firm change	Other
ALPHA STRATEGIES INVESTMENT CONSULTING	COLORADO FINANCIAL SERVICE CORPORATION	Jan 18, 2017	Feb 10, 2017	23	Firm change	Other
Spc	ALPHA STRATEGIES INVESTMENT CONSULTING	Jun 13, 2012	Apr 1, 2015	1,022	Firm change after gap	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Spc	Jun 19, 2009	Sep 8, 2010	446	Firm change after gap	Other
MORGAN STANLEY & CO. LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Apr 17, 2007	Apr 16, 2007	-1	Firm change	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other

Relationships

Registered with (7)

→ MAGNOLIA CAPITAL ASSET MANAGEMENT LLCRegistered adviserregistration: current employment
Nov 10, 2022 to presentfactForm ADV
→ COLORADO FINANCIAL SERVICE CORPORATIONRegistered adviserregistration: previous registration
Feb 10, 2017 to Apr 4, 2022factForm ADV
→ ALPHA STRATEGIES INVESTMENT CONSULTINGRegistered adviserregistration: previous registration
Apr 1, 2015 to Jan 18, 2017factForm ADV
→ SPCRegistered adviserregistration: previous registration
Nov 22, 2011 to Jun 13, 2012factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Apr 16, 2007 to Jun 19, 2009factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Apr 17, 2007factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Mar 15, 2004 to Apr 2, 2007factForm ADV

Dated events

Occurred
Apr 4, 2022
Advisor changed firm
Catherine Gao Hsu left Colorado Financial Service Corporation for Magnolia Capital Asset Management Llc (registered 2022-11-10)
Form ADVobserved 5 days ago