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
Stephanie Wai Yi Wong
Feed of 09/16/2026
Also filed as Wai Yi Wong
At current firm
0 y
since Sep 3, 2026
In the industry
24 y
since Sep 5, 2002 (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
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Raymond James & Associates, Inc. national BD currentsince Sep 3, 2026 · San Francisco, Ca
- UBS Financial Services Inc. wirehouse currentsince Jan 22, 2020 · Mill Valley, Ca
- UBS Financial Services Inc. wirehouseJan 22, 2020 to Sep 15, 2026 · Mill Valley, Ca
- Robert W. Baird & Co. Incorporated mixed wealthMar 7, 2011 to Feb 14, 2020 · Mill Valley, Ca
- Wells Fargo Advisors wirehouseJan 3, 2011 to Mar 10, 2011 · San Francisco, Ca
- Wells Fargo Investments, LLC unclassifiedNov 10, 2009 to Jan 3, 2011 · San Francisco, Ca
- Wells Fargo Investments, LLC unclassifiedNov 10, 2009 to Jan 3, 2011 · San Francisco, Ca
- Wells Fargo Advisors wirehouseApr 25, 2008 to Nov 11, 2009 · San Leandro, Ca
- Wells Fargo Advisors wirehouseApr 25, 2008 to Nov 11, 2009 · San Leandro, Ca
- Banc Of America Investment Services, Inc. unclassifiedSep 17, 2002 to Apr 21, 2008 · San Francisco, Ca
- Banc Of America Investment Services, Inc. unclassifiedSep 17, 2002 to Apr 21, 2008 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- UBS Financial Services Inc. to Raymond James & Associates, Inc.left Sep 15, 2026, registered Sep 3, 2026 (-12 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- Robert W. Baird & Co. Incorporated to UBS Financial Services Inc.left Feb 14, 2020, registered Jan 22, 2020 (-23 days) · RIA to wirehouse · moved with a team
- Wells Fargo Advisors to Robert W. Baird & Co. Incorporatedleft Mar 10, 2011, registered Mar 7, 2011 (-3 days) · Other
- Wells Fargo Investments, LLC to Wells Fargo Advisorsleft Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- Wells Fargo Advisors to Wells Fargo Investments, LLCleft Nov 11, 2009, registered Nov 10, 2009 (-1 days) · Other
- Banc Of America Investment Services, Inc. to Wells Fargo Advisorsleft Apr 21, 2008, registered Apr 25, 2008 (4 days) · Other
Signals
- Stephanie Wai Yi Wong left UBS Financial Services Inc. for Raymond James & Associates, Inc. (registered 2026-09-03)Sep 15, 2026 · 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address