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
Paul Lieu
Feed of 09/14/2026
At current firm
12 y
since Jan 14, 2014
In the industry
31 y
since Apr 24, 1995 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Calton & Associates, Inc. independent RIA currentsince Jan 14, 2014 · Huntington Beach, Ca
- J.P. Morgan Securities LLC wirehouseOct 1, 2012 to Jan 23, 2014 · Westminster, Ca
- Chase Investment Services Corp. formerJul 2, 2010 to Oct 1, 2012 · Westminster, Ca
- Citigroup Global Markets Inc. BD affiliatedMay 29, 2007 to Dec 17, 2009 · Corona Del Mar, Ca
- Citicorp Investment Services unclassifiedJun 9, 2006 to May 29, 2007 · Laguna Hills, Ca
- Wells Fargo Investments, LLC unclassifiedDec 18, 2003 to Jun 5, 2006 · Placentia, Ca
- Ifmg Securities, Inc. unclassifiedJul 8, 2002 to Dec 19, 2003 · Anaheim, Ca
Moves
a registration end followed by a registration begin elsewhere
- J.P. Morgan Securities LLC to Calton & Associates, Inc.left Jan 23, 2014, registered Jan 14, 2014 (-9 days) · Other
- Chase Investment Services Corp. to J.P. Morgan Securities LLCleft Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- Citigroup Global Markets Inc. to Chase Investment Services Corp.left Dec 17, 2009, registered Jul 2, 2010 (197 days) · Other
- Citicorp Investment Services to Citigroup Global Markets Inc.left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- Wells Fargo Investments, LLC to Citicorp Investment Servicesleft Jun 5, 2006, registered Jun 9, 2006 (4 days) · Other
- Ifmg Securities, Inc. to Wells Fargo Investments, LLCleft Dec 19, 2003, registered Dec 18, 2003 (-1 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address