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
Clayton K Shum
Certified Financial Planner
Feed of 09/14/2026
Also filed as Clayton K. Shum
At current firm
3 y
since Feb 13, 2023
In the industry
22 y
since Jun 1, 2004 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Aegis Capital Corp. BD affiliated currentsince Feb 13, 2023 · Burlingame, Ca
- Grove Point Advisors, LLC formerApr 1, 2021 to Jan 12, 2023 · Rockville, Md
- H. Beck, Inc. formerDec 1, 2020 to Apr 1, 2021 · Burlingame, Ca
- USA Financial Securities LLC independent RIADec 9, 2009 to Dec 1, 2020 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- Grove Point Advisors, LLC to Aegis Capital Corp.left Jan 12, 2023, registered Feb 13, 2023 (32 days) · Affiliated broker-dealer or bank to another
- H. Beck, Inc. to Grove Point Advisors, LLCleft Apr 1, 2021, registered Apr 1, 2021 (0 days) · corporate re-registration, not a move
- USA Financial Securities LLC to H. Beck, Inc.left Dec 1, 2020, registered Dec 1, 2020 (0 days) · RIA to affiliated broker-dealer or bank · moved with a team
Signals
- Clayton K Shum left Grove Point Advisors, Llc for Aegis Capital Corp. (registered 2023-02-13)Jan 12, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address