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
Simon Chung-Yee Liu
Feed of 09/14/2026
Also filed as Lui
At current firm
8 y
since Apr 25, 2018
In the industry
19 y
since Dec 30, 2006 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
5
current, as an IAR
Firms today
1
current registrations
Exams
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
- Rvw Wealth LLC independent RIA currentsince Apr 25, 2018 · Los Angeles, Ca
- Harold Davidson & Associates, Inc independent RIAAug 29, 2017 to Apr 30, 2018 · Los Angeles, Ca
- Hcr Wealth Advisors independent RIAAug 8, 2016 to Oct 3, 2017 · Los Angeles, Ca
- Pacific Financial Strategies, Inc independent RIAJul 29, 2011 to Apr 14, 2016 · Thousand Oaks, Ca
- Daat Asset Management unclassifiedMay 13, 2010 to Jun 16, 2011 · Westlake Village, Ca
- Guggenheim Partners Investment Management, LLC otherJan 2, 2007 to May 31, 2011 · Santa Monica, Ca
Moves
a registration end followed by a registration begin elsewhere
- Harold Davidson & Associates, Inc to Rvw Wealth LLCleft Apr 30, 2018, registered Apr 25, 2018 (-5 days) · RIA to RIA
- Hcr Wealth Advisors to Harold Davidson & Associates, Incleft Oct 3, 2017, registered Aug 29, 2017 (-35 days) · Other
- Pacific Financial Strategies, Inc to Hcr Wealth Advisorsleft Apr 14, 2016, registered Aug 8, 2016 (116 days) · Other
- Daat Asset Management to Pacific Financial Strategies, Incleft Jun 16, 2011, registered Jul 29, 2011 (43 days) · Other
- Guggenheim Partners Investment Management, LLC to Daat Asset Managementleft May 31, 2011, registered May 13, 2010 (-383 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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address