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
Shuyi Kong
Feed of 09/14/2026
Also filed as June Kong
At current firm
12 y
since Oct 30, 2013
In the industry
28 y
since Jun 19, 1998 (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, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Shuyi Kong Wealth Management, Inc. state registered currentsince Oct 30, 2013 · Millbrae, Ca
- Acrylic Financial, Inc. independent RIAAug 5, 2020 to Aug 27, 2020 · Fountain Hills, Az
- Kovack Advisors, Inc. BD affiliatedApr 12, 2011 to Aug 1, 2013 · Ft. Lauderdale, Fl
- Cue Financial Group, Inc. formerSep 5, 2008 to Mar 16, 2011 · Scottsdale, Az
- Cuso Financial Services, L.P. formerApr 20, 2007 to Sep 9, 2008 · Daly City, Ca
- Wamu Investments, Inc. unclassifiedJan 24, 2006 to Apr 10, 2007 · San Francisco, Ca
- Ifmg Securities, Inc. unclassifiedJul 8, 2002 to Apr 29, 2004 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- Acrylic Financial, Inc. to no registered destinationleft Aug 27, 2020 · Departure, no registered destination
- Kovack Advisors, Inc. to Shuyi Kong Wealth Management, Inc.left Aug 1, 2013, registered Oct 30, 2013 (90 days) · Other
- Cue Financial Group, Inc. to Kovack Advisors, Inc.left Mar 16, 2011, registered Apr 12, 2011 (27 days) · Other
- Cuso Financial Services, L.P. to Cue Financial Group, Inc.left Sep 9, 2008, registered Sep 5, 2008 (-4 days) · Other
- Wamu Investments, Inc. to Cuso Financial Services, L.P.left Apr 10, 2007, registered Apr 20, 2007 (10 days) · Other
- Ifmg Securities, Inc. to Wamu Investments, Inc.left Apr 29, 2004, registered Jan 24, 2006 (635 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
- STATE REGISTEREDderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address