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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

DAVID TA-WAI YU

Advisor at INDEPENDENT FINANCIAL PARTNERS

Fort Lauderdale, FL | TAMPA, FL

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Search this name across graphsid dfx:ria:81778c85-4374-d64a-aafb-bb78cd6cdb9a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 15, 2008 to Sep 15, 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: INDEPENDENT FINANCIAL PARTNERS
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: Jun 1, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: May 2, 2008
First registration: Oct 15, 2008
Dual registered: yes, broker-dealer
IAPD individual key: 5484970

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
INDEPENDENT FINANCIAL PARTNERS	Bd affiliated wealth	Nov 1, 2019	n/a	yes	Fort Lauderdale, FL\|TAMPA, FL	Current employment
KOVACK ADVISORS, INC.	Bd affiliated wealth	Feb 18, 2014	Oct 25, 2019	no	FT. LAUDERDALE, FL\|FORT LAUDERDALE, FL	Previous registration
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC	Bd affiliated wealth	Jan 25, 2013	Mar 7, 2014	no	ORLANDO, FL	Previous registration
QUESTAR ASSET MANAGEMENT, INC.	Former SEC adviser	May 19, 2011	Jan 30, 2013	no	FT LAUDERDALE, FL\|FT. LAUDERDALE, FL\|MINNEAPOLIS, MN	Previous registration
FINANCIAL PLANNING ASSOCIATES,INC.	n/a	Oct 15, 2008	Jan 11, 2011	no	PLEASANTVILLE, NY	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
KOVACK ADVISORS, INC.	INDEPENDENT FINANCIAL PARTNERS	Oct 25, 2019	Nov 1, 2019	7	Firm change	Ibd to ibd
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC	KOVACK ADVISORS, INC.	Mar 7, 2014	Feb 18, 2014	-17	Firm change	Other
QUESTAR ASSET MANAGEMENT, INC.	INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC	Jan 30, 2013	Jan 25, 2013	-5	Firm change	Other
FINANCIAL PLANNING ASSOCIATES,INC.	QUESTAR ASSET MANAGEMENT, INC.	Jan 11, 2011	May 19, 2011	128	Firm change	Other

Relationships

Registered with (5)

→ INDEPENDENT FINANCIAL PARTNERSRegistered adviserregistration: current employment
Nov 1, 2019 to presentfactForm ADV
→ KOVACK ADVISORS, INC.Registered adviserregistration: previous registration
Feb 18, 2014 to Oct 25, 2019factForm ADV
→ INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jan 25, 2013 to Mar 7, 2014factForm ADV
→ QUESTAR ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
May 19, 2011 to Jan 30, 2013factForm ADV
→ FINANCIAL PLANNING ASSOCIATES,INC.Registered adviserregistration: previous registration
Oct 15, 2008 to Jan 11, 2011factForm ADV

Dated events

No dated event names this entity yet.