DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
John On-Kwok Lau
Certified Financial Planner
Feed of 09/15/2026
Also filed as John On Kwok Lau
At current firm
3 y
since Dec 16, 2022
In the industry
28 y
since May 8, 1998 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Robertson Stephens independent RIA currentsince Dec 16, 2022 · San Francisco, Ca
- Girard Securities, Inc. formerMay 3, 2011 to Dec 31, 2012 · Burlingame, Ca
- Lfs Wealth Advisors formerDec 7, 2010 to Feb 13, 2023 · San Ramon, Ca
- Next Financial Group, Inc. formerJun 14, 2005 to May 4, 2011 · Los Altos, Ca
- LPL Financial LLC BD affiliatedMar 1, 2004 to Jun 15, 2005 · San Mateo, Ca
- Avantax Advisory Services formerSep 22, 1998 to Mar 30, 2004 · San Mateo, Ca
Moves
a registration end followed by a registration begin elsewhere
- Lfs Wealth Advisors to Girard Securities, Inc.left Feb 13, 2023, registered May 3, 2011 (-4304 days) · Other
- Girard Securities, Inc. to Robertson Stephensleft Dec 31, 2012, registered Dec 16, 2022 (3637 days) · Other
- Next Financial Group, Inc. to Lfs Wealth Advisorsleft May 4, 2011, registered Dec 7, 2010 (-148 days) · Other
- LPL Financial LLC to Next Financial Group, Inc.left Jun 15, 2005, registered Jun 14, 2005 (-1 days) · Other
- Avantax Advisory Services to LPL Financial LLCleft Mar 30, 2004, registered Mar 1, 2004 (-29 days) · Other
Signals
- John On-Kwok Lau left Lfs Wealth Advisors for Girard Securities, Inc. (registered 2011-05-03)Feb 13, 2023 · 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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address