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
Alvin Siu-Lun Yam
Certified Financial Planner
Feed of 09/14/2026
Also filed as Alvin Siulum Yam
At current firm
4 y
since Sep 12, 2022
In the industry
31 y
since Oct 10, 1994 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66, 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
- Paraiba Wealth Management LLC state registered currentsince Sep 12, 2022 · Hercules, Ca
- Stonemark Wealth Management independent RIAJan 10, 2014 to Mar 21, 2022 · Pasadena, Ca
- Westmount Partners, LLC independent RIANov 9, 2011 to Sep 26, 2013 · Los Angeles, Ca
- Westmount Asset Management Inc formerJan 20, 2010 to Dec 5, 2011 · Los Angeles, Ca
- Charles Schwab & Co., Inc. national BDFeb 25, 2004 to Jun 21, 2006 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- Stonemark Wealth Management to Paraiba Wealth Management LLCleft Mar 21, 2022, registered Sep 12, 2022 (175 days) · RIA to a state-registered adviser
- Westmount Partners, LLC to Stonemark Wealth Managementleft Sep 26, 2013, registered Jan 10, 2014 (106 days) · Other
- Westmount Asset Management Inc to Westmount Partners, LLCleft Dec 5, 2011, registered Nov 9, 2011 (-26 days) · Other
- Charles Schwab & Co., Inc. to Westmount Asset Management Incleft Jun 21, 2006, registered Jan 20, 2010 (1309 days) · Other
Signals
- Alvin Siu-Lun Yam left Stonemark Wealth Management for Paraiba Wealth Management Llc (registered 2022-09-12)Mar 21, 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
- STATE REGISTEREDderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address