DFX Intelligence

Data Factory

RIA / WealthAdvisor26 years in industry

HAN JOO CHO

Advisor at POSITIVE DELTA ASSET MANAGEMENT LLC

LOS ANGELES, CA

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:29b1ef45-3d5e-31fc-8d51-a40524aae97d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 13, 2000 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: POSITIVE DELTA ASSET MANAGEMENT LLC
Current firm class: former SEC adviserderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 17, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Apr 17, 2000
First registration: Jul 13, 2000
Dual registered: no
IAPD individual key: 4137728

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
POSITIVE DELTA ASSET MANAGEMENT LLC	Former SEC adviser	Jun 15, 2011	n/a	yes	LOS ANGELES, CA	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Sep 22, 2009	Jun 13, 2011	no	LOS ANGELES, CA\|SAN DIEGO, CA\|LOS ANGELES, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jan 20, 2006	Oct 2, 2009	no	Los Angeles, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	May 14, 2002	Jan 23, 2006	no	LOS ANGELES, CA	Previous registration
PRUDENTIAL EQUITY GROUP, LLC	n/a	Jul 13, 2000	May 10, 2002	no	PASADENA, 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
LPL FINANCIAL LLC	POSITIVE DELTA ASSET MANAGEMENT LLC	Jun 13, 2011	Jun 15, 2011	2	Firm change	Other
UBS FINANCIAL SERVICES INC.	LPL FINANCIAL LLC	Oct 2, 2009	Sep 22, 2009	-10	Firm change	Other
MORGAN STANLEY DW INC.	UBS FINANCIAL SERVICES INC.	Jan 23, 2006	Jan 20, 2006	-3	Firm change	Other
PRUDENTIAL EQUITY GROUP, LLC	MORGAN STANLEY DW INC.	May 10, 2002	May 14, 2002	4	Firm change	Other

Relationships

Registered with (5)

→ POSITIVE DELTA ASSET MANAGEMENT LLCRegistered adviserregistration: current employment
Jun 15, 2011 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Sep 22, 2009 to Jun 13, 2011factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jan 20, 2006 to Oct 2, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
May 14, 2002 to Jan 23, 2006factForm ADV
→ PRUDENTIAL EQUITY GROUP, LLCRegistered adviserregistration: previous registration
Jul 13, 2000 to May 10, 2002factForm ADV

Dated events

No dated event names this entity yet.