DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
A••• Y••• H•• K•••
Certified Financial Planner
Feed of 09/15/2026
Also filed as A••• Y H Lee
At current firm
4 y
since Feb 1, 2022
In the industry
35 y
since Jun 25, 1991 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Feb 1, 2022 · Costa Mesa, Ca
- A•••• P•••• A••••••• formerJul 14, 2020 to Feb 4, 2022 · Costa Mesa, Ca
- S••••••••• A•••••• A•••••••• I••• formerDec 15, 2016 to Feb 4, 2022 · Costa Mesa, Ca
- C•••• W••••• M••••••••• I••• unclassifiedMar 8, 2007 to Feb 9, 2017 · Huntington Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to A•••• P•••• A•••••••left Feb 4, 2022, registered Jul 14, 2020 (-570 days) · channel change inside one enterprise, not a move
- A•••• P•••• A••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Feb 4, 2022, registered Feb 1, 2022 (-3 days) · Affiliated broker-dealer or bank to another
- C•••• W••••• M••••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Feb 9, 2017, registered Dec 15, 2016 (-56 days) · Other
Signals
- A••• Y••• H•• K••• left A•••• P•••• A••••••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2022-02-01)Feb 4, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address