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

TRANSGLOBAL ADVISORY, 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

Sep 20, 2013earliest registration or exam on IAPD

Years in industry

13derivedfrom the industry start date

Years at current firm

1derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

1

Designations

Certified Financial Planner

Exams

S66|S63

First exam

Sep 20, 2013

First registration

Aug 10, 2015

Dual registered

no

Other names

LOUIS YU

IAPD individual key

6216026

• Occurred

  May 12, 2022
  Advisor changed firm

  Lu Yu left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Transglobal Advisory, Llc (registered 2025-07-17)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:8db759bd-6517-3e84-73f0-21a4efe380df

First observed

Aug 10, 2015

Last observed

Sep 14, 2026 6 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.