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
Stephen In Hee Lee
Certified Financial Planner
Feed of 09/15/2026
Also filed as In Hee Lee
At current firm
2 y
since Nov 3, 2023
In the industry
24 y
since Apr 10, 2002 (earliest exam, job or registration)
Prior registered firms
9
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- Rwa Wealth Partners independent RIA currentsince Nov 3, 2023 · Costa Mesa, Ca
- Polaris Wealth Advisory Group formerJan 19, 2023 to Nov 7, 2023 · Costa Mesa, Ca
- Mariner BD affiliatedApr 5, 2021 to Sep 28, 2022 · El Segundo, Ca
- Mercer Global Advisors Inc. independent RIAAug 23, 2019 to Oct 21, 2020 · Newport Beach, Ca
- Empirical Wealth Management independent RIAAug 3, 2018 to Jun 4, 2019 · Irvine, Ca
- Bancwest Investment Services, Inc. (Bwis) formerApr 21, 2018 to Jul 20, 2018 · Tustin, Ca
- Advice And Planning Services BD affiliatedFeb 6, 2013 to Mar 18, 2018 · Newport Beach, Ca
- U.S. Bancorp Advisors, LLC BD affiliatedFeb 11, 2008 to Mar 22, 2010 · Newport Beach, Ca
- Wells Fargo Advisors wirehouseOct 26, 2006 to Jan 28, 2008 · Tustin, Ca
- Wells Fargo Investments, LLC unclassifiedSep 8, 2005 to Sep 26, 2006 · Costa Mesa, Ca
Moves
a registration end followed by a registration begin elsewhere
- Polaris Wealth Advisory Group to Rwa Wealth Partnersleft Nov 7, 2023, registered Nov 3, 2023 (-4 days) · RIA to RIA · moved with a team
- Mariner to Polaris Wealth Advisory Groupleft Sep 28, 2022, registered Jan 19, 2023 (113 days) · Affiliated broker-dealer or bank to independent RIA
- Mercer Global Advisors Inc. to Marinerleft Oct 21, 2020, registered Apr 5, 2021 (166 days) · RIA to affiliated broker-dealer or bank
- Empirical Wealth Management to Mercer Global Advisors Inc.left Jun 4, 2019, registered Aug 23, 2019 (80 days) · RIA to RIA
- Bancwest Investment Services, Inc. (Bwis) to Empirical Wealth Managementleft Jul 20, 2018, registered Aug 3, 2018 (14 days) · Affiliated broker-dealer or bank to independent RIA
- Advice And Planning Services to Bancwest Investment Services, Inc. (Bwis)left Mar 18, 2018, registered Apr 21, 2018 (34 days) · Other
- U.S. Bancorp Advisors, LLC to Advice And Planning Servicesleft Mar 22, 2010, registered Feb 6, 2013 (1052 days) · Other
- Wells Fargo Advisors to U.S. Bancorp Advisors, LLCleft Jan 28, 2008, registered Feb 11, 2008 (14 days) · Other
- Wells Fargo Investments, LLC to Wells Fargo Advisorsleft Sep 26, 2006, registered Oct 26, 2006 (30 days) · Other
Signals
- Stephen In Hee Lee left Polaris Wealth Advisory Group for Rwa Wealth Partners (registered 2023-11-03)Nov 7, 2023 · Advisor changed firm · fact
- Stephen In Hee Lee left Mariner for Polaris Wealth Advisory Group (registered 2023-01-19)Sep 28, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address