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RIA / WealthAdvisor29 years in industry

TONY HSU

Advisor at ALETHEA CAPITAL MANAGEMENT, LLC

Rancho Santa Fe, CA | Seattle, WA | Mercer Island, WA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 1
Observed: Jun 18, 2001 to Sep 14, 2026

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Venture Capitalidentity

Tony Nmn Hsu

same person, same CRD on Schedule A · confidence 95% · family precision 100%

Facts

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

Current firm: ALETHEA CAPITAL MANAGEMENT, LLC
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 24, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Apr 24, 1997
First registration: Jun 18, 2001
Dual registered: no
Other names: TONY HSU|TONY HSU|TONY HSU|TONY NMN HSU
IAPD individual key: 2725513

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
ALETHEA CAPITAL MANAGEMENT, LLC	Independent wealth	Mar 13, 2025	n/a	yes	Rancho Santa Fe, CA\|Mercer Island, WA\|Seattle, WA	Current employment
OPPENHEIMER & CO. INC.	Bd affiliated wealth	Jul 21, 2009	Mar 17, 2011	no	SAN DIEGO, CA\|NEWPORT BEACH, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jul 5, 2005	Jun 26, 2009	no	LA JOLLA, CA\|LA JOLLA, CA	Previous registration
DEUTSCHE BANK SECURITIES INC.	No RAUM reported	Jun 18, 2001	Jul 21, 2005	no	LOS ANGELES, 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
OPPENHEIMER & CO. INC.	ALETHEA CAPITAL MANAGEMENT, LLC	Mar 17, 2011	Mar 13, 2025	5,110	Firm change after gap	Other
UBS FINANCIAL SERVICES INC.	OPPENHEIMER & CO. INC.	Jun 26, 2009	Jul 21, 2009	25	Firm change	Other
DEUTSCHE BANK SECURITIES INC.	UBS FINANCIAL SERVICES INC.	Jul 21, 2005	Jul 5, 2005	-16	Firm change	Other

Relationships

Registered with (4)

→ ALETHEA CAPITAL MANAGEMENT, LLCRegistered adviserregistration: current employment
Mar 13, 2025 to presentfactForm ADV
→ OPPENHEIMER & CO. INC.Registered adviserregistration: previous registration
Jul 21, 2009 to Mar 17, 2011factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jul 5, 2005 to Jun 26, 2009factForm ADV
→ DEUTSCHE BANK SECURITIES INC.Registered adviserregistration: previous registration
Jun 18, 2001 to Jul 21, 2005factForm ADV

Dated events

No dated event names this entity yet.