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

MAI 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

May 22, 2014earliest registration or exam on IAPD

Years in industry

12derivedfrom the industry start date

Years at current firm

4derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

2

Designations

Certified Financial Planner

Exams

S65

First exam

May 22, 2014

First registration

May 23, 2014

Dual registered

no

Other names

JOSEPH LUM|JOE LUM

IAPD individual key

6308634

• Occurred

  Aug 5, 2022
  Advisor changed firm

  Joseph Randall Lum left Intersect Capital Llc for Mai Capital Management, Llc (registered 2022-09-02)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:934f9867-4e99-2b6f-6848-7f57b81d6486

First observed

May 23, 2014

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.