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RIA / WealthAdvisorCertified Financial Planner23 years in industry

JAMES K HU

Advisor at MUTUAL ADVISORS, LLC

Diamond Bar, CA | OMAHA, NE

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Search this name across graphsid dfx:ria:5974a293-60d4-b6b6-8ec0-16104fe9fe8a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Feb 4, 2003 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: MUTUAL ADVISORS, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 30, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Jan 30, 2003
First registration: Feb 4, 2003
Dual registered: no
Other names: JAMES K. HU|JAMES HU
IAPD individual key: 4601732

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
MUTUAL ADVISORS, LLC	Bd affiliated wealth	Sep 29, 2023	n/a	yes	Diamond Bar, CA\|OMAHA, NE	Current employment
CREATIVEONE WEALTH, LLC	Independent wealth	Oct 26, 2020	Nov 8, 2023	no	Diamond Bar, CA\|OVERLAND PARK, KS	Previous registration
PARTNERVEST ADVISORY SERVICES LLC	Former SEC adviser	Jun 5, 2013	Nov 5, 2020	no	DIAMOND BAR, CA\|SANTA BARBARA, CA	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Feb 4, 2003	Jun 5, 2013	no	HACIENDA HEIGHTS, CA\|CITY OF INDUSTRY, CA\|DIAMOND BAR, 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
CREATIVEONE WEALTH, LLC	MUTUAL ADVISORS, LLC	Nov 8, 2023	Sep 29, 2023	-40	Firm change after gap	RIA to ibd
PARTNERVEST ADVISORY SERVICES LLC	CREATIVEONE WEALTH, LLC	Nov 5, 2020	Oct 26, 2020	-10	Bulk transfer	RIA to RIA
EQUITABLE ADVISORS, LLC	PARTNERVEST ADVISORY SERVICES LLC	Jun 5, 2013	Jun 5, 2013	0	Firm change	Other

Relationships

Registered with (4)

→ MUTUAL ADVISORS, LLCRegistered adviserregistration: current employment
Sep 29, 2023 to presentfactForm ADV
→ CREATIVEONE WEALTH, LLCRegistered adviserregistration: previous registration
Oct 26, 2020 to Nov 8, 2023factForm ADV
→ PARTNERVEST ADVISORY SERVICES LLCRegistered adviserregistration: previous registration
Jun 5, 2013 to Nov 5, 2020factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Feb 4, 2003 to Jun 5, 2013factForm ADV

Dated events

Occurred
Nov 8, 2023
Advisor changed firm
James K Hu left Creativeone Wealth, Llc for Mutual Advisors, Llc (registered 2023-09-29)
Form ADVobserved 5 days ago