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.
Feed of 09/14/2026
Also filed as Jimmy Suh
At current firm
5 y
since Sep 22, 2020
In the industry
34 y
since Jul 1, 1992 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Pfg Advisors independent RIA currentsince Sep 22, 2020 · Torrance, Ca
- Mirae Asset Wealth Management (USA) Inc. unclassifiedAug 1, 2017 to Oct 16, 2020 · Los Angeles, Ca
- Cetera Advisor Networks LLC formerApr 3, 2017 to Aug 10, 2017 · Fullerton, Ca
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseFeb 22, 2012 to Dec 16, 2016 · Pennington, Nj
- Waddell & Reed formerSep 9, 2009 to Feb 3, 2012 · Pasadena, Ca
- LPL Financial LLC BD affiliatedJul 15, 2009 to Aug 25, 2009 · Newport Beach, Ca
- Wells Fargo Investments, LLC unclassifiedMar 3, 2005 to May 4, 2009 · Los Angeles, Ca
- Chase Investment Services Corp. formerJul 21, 2000 to Nov 6, 2003 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- Mirae Asset Wealth Management (USA) Inc. to Pfg Advisorsleft Oct 16, 2020, registered Sep 22, 2020 (-24 days) · Other
- Cetera Advisor Networks LLC to Mirae Asset Wealth Management (USA) Inc.left Aug 10, 2017, registered Aug 1, 2017 (-9 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Cetera Advisor Networks LLCleft Dec 16, 2016, registered Apr 3, 2017 (108 days) · Other
- Waddell & Reed to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Feb 3, 2012, registered Feb 22, 2012 (19 days) · Other
- LPL Financial LLC to Waddell & Reedleft Aug 25, 2009, registered Sep 9, 2009 (15 days) · Other
- Wells Fargo Investments, LLC to LPL Financial LLCleft May 4, 2009, registered Jul 15, 2009 (72 days) · Other
- Chase Investment Services Corp. to Wells Fargo Investments, LLCleft Nov 6, 2003, registered Mar 3, 2005 (483 days) · Other
Signals
No dated event on this person.
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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address