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RIA / WealthAdvisorChartered Financial Analyst23 years in industry

STEPHEN YU

Advisor at THE BALDWIN GROUP WEALTH ADVISORS, LLC

IRVNE, CA | TAMPA, FL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:a34fd017-b8b4-c72a-eeb0-d94ec7559341

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 12, 2007 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: THE BALDWIN GROUP WEALTH ADVISORS, LLC
Current firm class: other adviserderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 1, 2002earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Chartered Financial Analyst
Exams: S65|S63
First exam: Oct 1, 2002
First registration: Mar 12, 2007
Dual registered: no
Other names: Yunsum Stephen Yu|Yun-Sum Stephen YU|STEPHEN YUN-SUM YU
IAPD individual key: 4635091

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
THE BALDWIN GROUP WEALTH ADVISORS, LLC	Other adviser	Mar 12, 2021	n/a	yes	IRVNE, CA\|TAMPA, FL	Current employment
BURNHAM GIBSON WEALTH ADVISORS, INC.	Former SEC adviser	May 9, 2018	Mar 12, 2021	no	IRVINE, CA	Previous registration
LUMEN FUNDS	n/a	Mar 25, 2009	Apr 7, 2017	no	HUNTINGTON BEACH, CA	Previous registration
TARBOX FAMILY OFFICE, INC.	Independent wealth	Mar 12, 2007	Oct 15, 2008	no	NEWPORT BEACH, 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
BURNHAM GIBSON WEALTH ADVISORS, INC.	THE BALDWIN GROUP WEALTH ADVISORS, LLC	Mar 12, 2021	Mar 12, 2021	0	Firm change	Other
LUMEN FUNDS	BURNHAM GIBSON WEALTH ADVISORS, INC.	Apr 7, 2017	May 9, 2018	397	Firm change	Other
TARBOX FAMILY OFFICE, INC.	LUMEN FUNDS	Oct 15, 2008	Mar 25, 2009	161	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
282035:312284:CA:2021-03-12	Mar 12, 2021	Mar 12, 2021	IRVINE, CA	Firm change

Relationships

Registered with (4)

→ THE BALDWIN GROUP WEALTH ADVISORS, LLCRegistered adviserregistration: current employment
Mar 12, 2021 to presentfactForm ADV
→ BURNHAM GIBSON WEALTH ADVISORS, INC.Registered adviserregistration: previous registration
May 9, 2018 to Mar 12, 2021factForm ADV
→ LUMEN FUNDSRegistered adviserregistration: previous registration
Mar 25, 2009 to Apr 7, 2017factForm ADV
→ TARBOX FAMILY OFFICE, INC.Registered adviserregistration: previous registration
Mar 12, 2007 to Oct 15, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a34fd017-b8b4-c72a-eeb0-d94ec7559341
First observed: Mar 12, 2007
Last observed: Sep 14, 2026 5 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.

STEPHEN YU

Advisor at THE BALDWIN GROUP WEALTH ADVISORS, LLC

IRVNE, CA | TAMPA, FL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:a34fd017-b8b4-c72a-eeb0-d94ec7559341

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:14 PM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

THE BALDWIN GROUP WEALTH ADVISORS, LLC

Other adviser

Mar 12, 2021

n/a

yes

IRVNE, CA|TAMPA, FL

Current employment

BURNHAM GIBSON WEALTH ADVISORS, INC.

Former SEC adviser

May 9, 2018

Mar 12, 2021

IRVINE, CA

Previous registration

LUMEN FUNDS

n/a

Mar 25, 2009

Apr 7, 2017

HUNTINGTON BEACH, CA

Previous registration

TARBOX FAMILY OFFICE, INC.

Independent wealth

Mar 12, 2007

Oct 15, 2008

NEWPORT BEACH, CA

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

BURNHAM GIBSON WEALTH ADVISORS, INC.

THE BALDWIN GROUP WEALTH ADVISORS, LLC

Mar 12, 2021

Firm change

Other

LUMEN FUNDS

BURNHAM GIBSON WEALTH ADVISORS, INC.

Apr 7, 2017

May 9, 2018

397

Firm change

Other

TARBOX FAMILY OFFICE, INC.

LUMEN FUNDS

Oct 15, 2008

Mar 25, 2009

161

Firm change

Other

Team

Left

Joined

From

Kind

282035:312284:CA:2021-03-12

Mar 12, 2021

IRVINE, CA

Firm change