DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

CHARLES NMN LIM

Advisor at STANCORP INVESTMENT ADVISERS, INC.

PORTLAND, OR | Arcadia, CA

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:cc867f60-cff9-80b8-33e8-825caadac1ef

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Sep 29, 2008 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: STANCORP INVESTMENT ADVISERS, INC.
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: Sep 27, 2008earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Sep 27, 2008
First registration: Sep 29, 2008
Dual registered: yes, broker-dealer
Other names: HONG CHUL LIM|CHARLES LIM
IAPD individual key: 5039063

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
STANCORP INVESTMENT ADVISERS, INC.	Other adviser	Dec 20, 2024	n/a	yes	Arcadia, CA\|PORTLAND, OR	Current employment
MIRAE ASSET WEALTH MANAGEMENT (USA) INC.	n/a	May 17, 2019	Apr 1, 2021	no	LOS ANGELES, CA\|LOS ANGELES, CA\|Los Angeles, CA	Previous registration
U.S. BANCORP ADVISORS, LLC	Bd affiliated wealth	Jan 24, 2017	May 13, 2019	no	Glendale, CA	Previous registration
FIRST ALLIED ADVISORY SERVICES, INC.	Former SEC adviser	Jun 25, 2012	Jan 12, 2017	no	SAN DIEGO, CA	Previous registration
FIRST ALLIED SECURITIES, INC.	Former SEC adviser	Aug 25, 2009	Jan 12, 2017	no	SAN DIEGO, CA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Sep 29, 2008	Aug 25, 2009	no	SAN DIEGO, 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
MIRAE ASSET WEALTH MANAGEMENT (USA) INC.	STANCORP INVESTMENT ADVISERS, INC.	Apr 1, 2021	Dec 20, 2024	1,359	Firm change after gap	Other
U.S. BANCORP ADVISORS, LLC	MIRAE ASSET WEALTH MANAGEMENT (USA) INC.	May 13, 2019	May 17, 2019	4	Firm change	Other
FIRST ALLIED ADVISORY SERVICES, INC.	U.S. BANCORP ADVISORS, LLC	Jan 12, 2017	Jan 24, 2017	12	Firm change	Other
FIRST ALLIED SECURITIES, INC.	FIRST ALLIED ADVISORY SERVICES, INC.	Jan 12, 2017	Jun 25, 2012	-1,662	Channel change	Other
LPL FINANCIAL LLC	FIRST ALLIED SECURITIES, INC.	Aug 25, 2009	Aug 25, 2009	0	Firm change	Other

Relationships

Registered with (6)

→ STANCORP INVESTMENT ADVISERS, INC.Registered adviserregistration: current employment
Dec 20, 2024 to presentfactForm ADV
→ MIRAE ASSET WEALTH MANAGEMENT (USA) INC.Registered adviserregistration: previous registration
May 17, 2019 to Apr 1, 2021factForm ADV
→ U.S. BANCORP ADVISORS, LLCRegistered adviserregistration: previous registration
Jan 24, 2017 to May 13, 2019factForm ADV
→ FIRST ALLIED ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Jun 25, 2012 to Jan 12, 2017factForm ADV
→ FIRST ALLIED SECURITIES, INC.Registered adviserregistration: previous registration
Aug 25, 2009 to Jan 12, 2017factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Sep 29, 2008 to Aug 25, 2009factForm ADV

Dated events

No dated event names this entity yet.