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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

IVY LAU

Advisor at STRATEGIC ADVISERS LLC

ESSEX FELLS, NJ

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Search this name across graphsid dfx:ria:232ac6a2-bf0b-5e32-2499-4c62a3fbde6c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Apr 20, 2012 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: STRATEGIC ADVISERS LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 1, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Apr 19, 2012
First registration: Apr 20, 2012
Dual registered: yes, broker-dealer
Other names: IVY LAU|YORK LAM IVY LAU|YORK LAM IVY LAU
IAPD individual key: 5725529

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
STRATEGIC ADVISERS LLC	National bd RIA	Mar 31, 2025	n/a	yes	ESSEX FELLS, NJ	Current employment
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Jul 13, 2018	Mar 31, 2025	no	BOSTON, MA\|ESSEX FELLS, NJ	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Mar 1, 2018	Jul 13, 2018	no	MILLBURN, NJ	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Nov 28, 2017	Jan 3, 2018	no	NEW YORK, NY	Previous registration
GOLDMAN SACHS WEALTH SERVICES, L.P.	Bd affiliated wealth	Jan 5, 2015	Oct 30, 2017	no	PARSIPPANY, NJ	Previous registration
ERNST & YOUNG INVESTMENT ADVISERS LLP	No RAUM reported	Apr 20, 2012	Jun 11, 2014	no	SECAUCUS, NJ	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
FIDELITY PERSONAL AND WORKPLACE ADVISORS	STRATEGIC ADVISERS LLC	Mar 31, 2025	Mar 31, 2025	0	Bulk transfer	Ibd to ibd
STRATEGIC ADVISERS LLC	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Jul 13, 2018	Jul 13, 2018	0	Bulk transfer	Ibd to new firm
J.P. MORGAN SECURITIES LLC	STRATEGIC ADVISERS LLC	Jan 3, 2018	Mar 1, 2018	57	Firm change	Wirehouse to ibd
GOLDMAN SACHS WEALTH SERVICES, L.P.	J.P. MORGAN SECURITIES LLC	Oct 30, 2017	Nov 28, 2017	29	Firm change	Other
ERNST & YOUNG INVESTMENT ADVISERS LLP	GOLDMAN SACHS WEALTH SERVICES, L.P.	Jun 11, 2014	Jan 5, 2015	208	Firm change	Other

Relationships

Registered with (5)

→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Mar 1, 2018 to Jul 13, 2018factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Jul 13, 2018 to Mar 31, 2025factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Nov 28, 2017 to Jan 3, 2018factForm ADV
→ GOLDMAN SACHS WEALTH SERVICES, L.P.Registered adviserregistration: previous registration
Jan 5, 2015 to Oct 30, 2017factForm ADV
→ ERNST & YOUNG INVESTMENT ADVISERS LLPRegistered adviserregistration: previous registration
Apr 20, 2012 to Jun 11, 2014factForm ADV

Dated events

No dated event names this entity yet.