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RIA Intelligence
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Feed of 09/14/2026
Also filed as Yee D F•••
At current firm
5 y
since Oct 23, 2020
In the industry
25 y
since Nov 13, 2000 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- P•••••••• independent RIA currentsince Oct 23, 2020 · Bellevue, Wa
- C••••••••• A••••••• I•• formerMar 4, 2009 to Sep 30, 2020 · Bellevue, Wa
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 20, 2007 to Aug 27, 2008 · Seattle, Wa
- T• A••••••••• I••• formerJul 20, 2007 to Aug 27, 2008 · Seattle, Wa
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 25, 2006 to Jun 1, 2006 · Seattle, Wa
- T• A••••••••• I••• formerJul 15, 2003 to Jun 1, 2006 · Seattle, Wa
Moves
a registration end followed by a registration begin elsewhere
- C••••••••• A••••••• I•• to P••••••••left Sep 30, 2020, registered Oct 23, 2020 (23 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Aug 27, 2008, registered Jul 20, 2007 (-404 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Aug 27, 2008, registered Jul 20, 2007 (-404 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jun 1, 2006, registered Jul 20, 2007 (414 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jun 1, 2006, registered Apr 25, 2006 (-37 days) · channel change inside one enterprise, not a move
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address