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.

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Registered advisor

C•••• Y•

S•••••••• A••••••• L••national BDElk Grove, Cadual registrantIAPD 2746335

Feed of 09/14/2026

Also filed as Cheri Li Yu

At current firm

1 y

since Mar 31, 2025

In the industry

30 y

since Sep 17, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••••• A••••••• L•• national BD current
since Mar 31, 2025 · Elk Grove, Ca
F••••••• P••••••• A•• W•••••••• A••••••• former
Jan 23, 2024 to Mar 31, 2025 · Elk Grove, Ca
M••••• S•••••• wirehouse
Aug 11, 2022 to May 3, 2023 · Sacramento, Ca
L•• F•••••••• L•• BD affiliated
Sep 8, 2009 to Aug 15, 2022 · Palm Desert, Ca
A••••••••• P••••••• I••••••••• A••••••• I•• unclassified
Dec 18, 2008 to Oct 1, 2009 · Boston, Ma
A••••••••• S••••••••• C•••• unclassified
Dec 18, 2008 to Sep 8, 2009 · San Francisco, Ca
S•••••••• W••••• A••••••• G•••• former
Sep 17, 2008 to Dec 11, 2009 · San Mateo, Ca
F•• S••••••••• C••••••••• former
Apr 25, 2007 to Dec 31, 2008 · San Francisco, Ca
C••••••• I••••••••• S••••••• unclassified
Sep 2, 2005 to Apr 3, 2007 · Los Angeles, Ca
C••••••• I••••••••• S••••••• unclassified
May 21, 2004 to Apr 25, 2005 · Glendale, Ca

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
M••••• S•••••• to F••••••• P••••••• A•• W•••••••• A•••••••
left May 3, 2023, registered Jan 23, 2024 (265 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
L•• F•••••••• L•• to M••••• S••••••
left Aug 15, 2022, registered Aug 11, 2022 (-4 days) · RIA to wirehouse
S•••••••• W••••• A••••••• G•••• to A••••••••• S••••••••• C••••
left Dec 11, 2009, registered Dec 18, 2008 (-358 days) · Other
A••••••••• P••••••• I••••••••• A••••••• I•• to L•• F•••••••• L••
left Oct 1, 2009, registered Sep 8, 2009 (-23 days) · Other
A••••••••• S••••••••• C•••• to A••••••••• P••••••• I••••••••• A••••••• I••
left Sep 8, 2009, registered Dec 18, 2008 (-264 days) · Other
F•• S••••••••• C••••••••• to S•••••••• W••••• A••••••• G••••
left Dec 31, 2008, registered Sep 17, 2008 (-105 days) · Other
C••••••• I••••••••• S••••••• to F•• S••••••••• C•••••••••
left Apr 3, 2007, registered Apr 25, 2007 (22 days) · Other

Signals

C•••• Y• left M••••• S•••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-01-23)
May 3, 2023 · Advisor changed firm · fact
C•••• Y• left L•• F•••••••• L•• for M••••• S•••••• (registered 2022-08-11)
Aug 15, 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: National broker-dealer RIAderived
Years in industry: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address