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

HIGHTOWER ADVISORS, LLC

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

Oct 29, 2009earliest registration or exam on IAPD

Years in industry

16derivedfrom the industry start date

Years at current firm

3derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

2

Exams

S65

First exam

Oct 29, 2009

First registration

Jan 20, 2010

Dual registered

no

Other names

YU OEN|YU K OEN

IAPD individual key

5746850

• Occurred

  Nov 11, 2022
  Advisor changed firm

  Yu Oen left Optimal Portfolio, Llc for Hightower Advisors, Llc (registered 2022-10-31)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:c8ad991c-25fc-e03c-7dcd-957a43e1aa60

First observed

Jan 20, 2010

Last observed

Sep 15, 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.