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.

Current firm

LPL ENTERPRISE, 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 1, 2003earliest registration or exam on IAPD

Years in industry

23derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

3

Current registrations

1

Registered states

2

Exams

S66

First exam

Apr 15, 2024

First registration

Apr 22, 2024

Dual registered

yes, broker-dealer

Other names

Raymond Chi Wang Yau

IAPD individual key

7802363

• Occurred

  Jun 11, 2026
  Advisor changed firm

  Raymond Yau left Forthright Capital for Lpl Enterprise, Llc (registered 2026-03-30)

  Form ADVobserved 5 days ago
• Occurred

  Sep 5, 2024
  Advisor changed firm

  Raymond Yau left First Command Advisory Services for Forthright Capital (registered 2024-08-06)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:8780a4a0-6ab4-7383-2e4d-2d8ba1babb2e

First observed

Apr 22, 2024

Last observed

Sep 14, 2026 7 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.