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RIA / WealthAdvisorCertified Financial Planner18 years in industry

TAMMY NGUYEN LEE

Advisor at ARAX ADVISORY PARTNERS

Tustin, CA | NEW YORK, NY

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Search this name across graphsid dfx:ria:ab577e5d-9913-3945-1d63-9a1727c276e2

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Feb 13, 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: ARAX ADVISORY 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: Jan 22, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66
First exam: Jan 22, 2008
First registration: Feb 13, 2008
Dual registered: no
Other names: TAMMY NGUYEN HO|TAMMY NGUYEN HO
IAPD individual key: 4984629

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
ARAX ADVISORY PARTNERS	Bd affiliated wealth	Jul 19, 2026	n/a	yes	NEW YORK, NY\|Tustin, CA	Current employment
U.S. CAPITAL WEALTH ADVISORS, LLC	Bd affiliated wealth	Dec 16, 2022	Jul 20, 2026	no	Tustin, CA	Previous registration
ALPHA CUBED INVESTMENTS, LLC	Former SEC adviser	Dec 26, 2019	Dec 22, 2022	no	COSTA MESA, CA	Previous registration
RETIREMENT WELLNESS GROUP	Institutional manager	Jul 10, 2019	Dec 13, 2019	no	PASADENA, CA	Previous registration
BRIDGE ADVISORY LLC	Former SEC adviser	Jan 30, 2015	Dec 13, 2019	no	NEWPORT BEACH, CA\|PASADENA, CA	Previous registration
F500 ADVISORY SERVICES, INC.	Former SEC adviser	Feb 13, 2008	Nov 14, 2014	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
U.S. CAPITAL WEALTH ADVISORS, LLC	ARAX ADVISORY PARTNERS	Jul 20, 2026	Jul 19, 2026	-1	Bulk transfer	Ibd to ibd
ALPHA CUBED INVESTMENTS, LLC	U.S. CAPITAL WEALTH ADVISORS, LLC	Dec 22, 2022	Dec 16, 2022	-6	Firm change	RIA to ibd
BRIDGE ADVISORY LLC	RETIREMENT WELLNESS GROUP	Dec 13, 2019	Jul 10, 2019	-156	Firm change after gap	Other
RETIREMENT WELLNESS GROUP	ALPHA CUBED INVESTMENTS, LLC	Dec 13, 2019	Dec 26, 2019	13	Firm change	Other
F500 ADVISORY SERVICES, INC.	BRIDGE ADVISORY LLC	Nov 14, 2014	Jan 30, 2015	77	Firm change	Other

Relationships

Registered with (6)

→ ARAX ADVISORY PARTNERSRegistered adviserregistration: current employment
Jul 19, 2026 to presentfactForm ADV
→ U.S. CAPITAL WEALTH ADVISORS, LLCRegistered adviserregistration: previous registration
Dec 16, 2022 to Jul 20, 2026factForm ADV
→ ALPHA CUBED INVESTMENTS, LLCRegistered adviserregistration: previous registration
Dec 26, 2019 to Dec 22, 2022factForm ADV
→ BRIDGE ADVISORY LLCRegistered adviserregistration: previous registration
Jan 30, 2015 to Dec 13, 2019factForm ADV
→ RETIREMENT WELLNESS GROUPRegistered adviserregistration: previous registration
Jul 10, 2019 to Dec 13, 2019factForm ADV
→ F500 ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Feb 13, 2008 to Nov 14, 2014factForm ADV

Dated events

Occurred
Dec 22, 2022
Advisor changed firm
Tammy Nguyen Lee left Alpha Cubed Investments, Llc for U.S. Capital Wealth Advisors, Llc (registered 2022-12-16)
Form ADVobserved 6 days ago