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RIA / WealthAdvisorCertified Financial Planner22 years in industry

Simon Y Chung

Advisor at CAPTRUST

Costa Mesa, CA

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Search this name across graphsid dfx:ria:b0aa7d9f-6c5f-eab8-41d0-37eabfa8d68e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 1
On other graphs: 0
Observed: Nov 17, 2004 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: CAPTRUST
Current firm class: institutional managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 12, 2003earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 12
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63|S66
First exam: Dec 12, 2003
First registration: Nov 17, 2004
Dual registered: no
Other names: SIMON Y CHUNG
IAPD individual key: 4460687

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
Captrust	Institutional manager	Feb 16, 2026	n/a	yes	Costa Mesa, CA	Current employment
ALPHA CUBED INVESTMENTS, LLC	Former SEC adviser	Mar 23, 2021	Apr 30, 2026	no	COSTA MESA, CA	Previous registration
OSAIC WEALTH, INC.	Bd affiliated wealth	Jun 13, 2019	Mar 9, 2021	no	Valencia, CA	Previous registration
CHURCHILL MANAGEMENT GROUP	Former SEC adviser	Aug 30, 2018	Apr 23, 2019	no	Los Angeles, CA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Oct 24, 2017	Jun 25, 2018	no	LOS ANGELES, CA	Previous registration
SORRENTO PACIFIC FINANCIAL, LLC	Former SEC adviser	Jul 25, 2017	Oct 13, 2017	no	NAPA, CA\|AMERICAN CANYON, CA\|CALISTOGA, CA\|FAIRFIELD, CA\|NAPA, CA\|ST HELENA, CA\|VACAVILLE, CA\|VALLEJO, CA\|YOUNTVILLE, CA	Previous registration
CREATIVE PLANNING	Independent wealth	Sep 26, 2016	Feb 15, 2017	no	San Pablo, CA\|OVERLAND PARK, KS	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jul 11, 2016	Sep 23, 2016	no	Walnut Creek, CA\|San Francisco, CA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jun 4, 2014	May 23, 2016	no	WALNUT CREEK, CA	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Aug 24, 2012	May 27, 2014	no	WALNUT CREEK, CA	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Aug 24, 2012	May 27, 2014	no	Walnut Creek, CA	Previous registration
FISHER INVESTMENTS	Independent wealth	Aug 4, 2011	Aug 1, 2012	no	CAMAS, WA\|PLANO, TX	Previous registration
WFP SECURITIES	n/a	Nov 17, 2004	Jul 25, 2011	no	SAN DIEGO, CA\|IRVINE, 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
ALPHA CUBED INVESTMENTS, LLC	Captrust	Apr 30, 2026	Feb 16, 2026	-73	Firm change after gap	Other
OSAIC WEALTH, INC.	ALPHA CUBED INVESTMENTS, LLC	Mar 9, 2021	Mar 23, 2021	14	Firm change	Ibd to RIA
CHURCHILL MANAGEMENT GROUP	OSAIC WEALTH, INC.	Apr 23, 2019	Jun 13, 2019	51	Firm change	RIA to ibd
AMERIPRISE FINANCIAL SERVICES, LLC	CHURCHILL MANAGEMENT GROUP	Jun 25, 2018	Aug 30, 2018	66	Firm change	Ibd to RIA
SORRENTO PACIFIC FINANCIAL, LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Oct 13, 2017	Oct 24, 2017	11	Firm change	Other
CREATIVE PLANNING	SORRENTO PACIFIC FINANCIAL, LLC	Feb 15, 2017	Jul 25, 2017	160	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	CREATIVE PLANNING	Sep 23, 2016	Sep 26, 2016	3	Firm change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	May 27, 2014	Aug 24, 2012	-641	Firm change after gap	Other
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	May 27, 2014	Aug 24, 2012	-641	Channel change	Other
FISHER INVESTMENTS	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Aug 1, 2012	Aug 24, 2012	23	Firm change	Other
WFP SECURITIES	FISHER INVESTMENTS	Jul 25, 2011	Aug 4, 2011	10	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
159347:175112:CA:2026-04-30	Apr 30, 2026	Feb 16, 2026	COSTA MESA, CA	Firm change after gap

Relationships

Registered with (11)

→ CAPTRUSTRegistered adviserregistration: current employment
Feb 16, 2026 to presentfactForm ADV
→ ALPHA CUBED INVESTMENTS, LLCRegistered adviserregistration: previous registration
Mar 23, 2021 to Apr 30, 2026factForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Jun 13, 2019 to Mar 9, 2021factForm ADV
→ CHURCHILL MANAGEMENT GROUPRegistered adviserregistration: previous registration
Aug 30, 2018 to Apr 23, 2019factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Oct 24, 2017 to Jun 25, 2018factForm ADV
→ SORRENTO PACIFIC FINANCIAL, LLCRegistered adviserregistration: previous registration
Jul 25, 2017 to Oct 13, 2017factForm ADV
→ CREATIVE PLANNINGRegistered adviserregistration: previous registration
Sep 26, 2016 to Feb 15, 2017factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Aug 24, 2012 to May 27, 2014factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Aug 24, 2012 to May 27, 2014factForm ADV
→ FISHER INVESTMENTSRegistered adviserregistration: previous registration
Aug 4, 2011 to Aug 1, 2012factForm ADV
→ WFP SECURITIESRegistered adviserregistration: previous registration
Nov 17, 2004 to Jul 25, 2011factForm ADV

Dated events

Occurred
Apr 30, 2026
Advisor changed firm
Simon Y Chung left Alpha Cubed Investments, Llc for Captrust (registered 2026-02-16)
Form ADVobserved 4 days ago