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.

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Registered advisor

S•••• Y• C••••

C•••••••institutionalCosta Mesa, CaIA-onlyIAPD 4460687

Certified Financial Planner

Feed of 09/14/2026

Also filed as Simon Y Chung

At current firm

0 y

since Feb 16, 2026

In the industry

22 y

since Dec 12, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••••• institutional current
since Feb 16, 2026 · Costa Mesa, Ca
A•••• C•••• I••••••••• L•• former
Mar 23, 2021 to Apr 30, 2026 · Costa Mesa, Ca
O•••• W•••••• I••• BD affiliated
Jun 13, 2019 to Mar 9, 2021 · Valencia, Ca
C•••••••• M••••••••• G•••• former
Aug 30, 2018 to Apr 23, 2019 · Los Angeles, Ca
A••••••••• F•••••••• S•••••••• L•• national BD
Oct 24, 2017 to Jun 25, 2018 · Los Angeles, Ca
S••••••• P•••••• F••••••••• L•• former
Jul 25, 2017 to Oct 13, 2017 · Napa, Ca
C••••••• P••••••• independent RIA
Sep 26, 2016 to Feb 15, 2017 · San Pablo, Ca
A••••••••• F•••••••• S•••••••• L•• national BD
Jul 11, 2016 to Sep 23, 2016 · Walnut Creek, Ca
A••••••••• F•••••••• S•••••••• L•• national BD
Jun 4, 2014 to May 23, 2016 · Walnut Creek, Ca
T• A••••••••• I••••••••• M••••••••• L•• former
Aug 24, 2012 to May 27, 2014 · Walnut Creek, Ca
T• A••••••••• I••• former
Aug 24, 2012 to May 27, 2014 · Walnut Creek, Ca
F••••• I••••••••• independent RIA
Aug 4, 2011 to Aug 1, 2012 · Camas, Wa
W•• S••••••••• unclassified
Nov 17, 2004 to Jul 25, 2011 · San Diego, Ca

Moves

a registration end followed by a registration begin elsewhere

A•••• C•••• I••••••••• L•• to C•••••••
left Apr 30, 2026, registered Feb 16, 2026 (-73 days) · Other · moved with a team
O•••• W•••••• I••• to A•••• C•••• I••••••••• L••
left Mar 9, 2021, registered Mar 23, 2021 (14 days) · Affiliated broker-dealer or bank to independent RIA
C•••••••• M••••••••• G•••• to O•••• W•••••• I•••
left Apr 23, 2019, registered Jun 13, 2019 (51 days) · RIA to affiliated broker-dealer or bank
A••••••••• F•••••••• S•••••••• L•• to C•••••••• M••••••••• G••••
left Jun 25, 2018, registered Aug 30, 2018 (66 days) · Affiliated broker-dealer or bank to independent RIA
S••••••• P•••••• F••••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left Oct 13, 2017, registered Oct 24, 2017 (11 days) · Other
C••••••• P••••••• to S••••••• P•••••• F••••••••• L••
left Feb 15, 2017, registered Jul 25, 2017 (160 days) · Other
A••••••••• F•••••••• S•••••••• L•• to C••••••• P•••••••
left Sep 23, 2016, registered Sep 26, 2016 (3 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left May 27, 2014, registered Aug 24, 2012 (-641 days) · Other
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left May 27, 2014, registered Aug 24, 2012 (-641 days) · channel change inside one enterprise, not a move
F••••• I••••••••• to T• A••••••••• I••••••••• M••••••••• L••
left Aug 1, 2012, registered Aug 24, 2012 (23 days) · Other
W•• S••••••••• to F••••• I•••••••••
left Jul 25, 2011, registered Aug 4, 2011 (10 days) · Other

Signals

S•••• Y• C•••• left A•••• C•••• I••••••••• L•• for Captrust (registered 2026-02-16)
Apr 30, 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: Institutional managerderived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address