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
Helen Hsi-Shan Lin
Southern California Wealth Management Associatesstate registeredRolling Hills Estates, Cadual registrantIAPD 4556198
Feed of 09/14/2026
Also filed as Hsi-Shan Lin
At current firm
1 y
since Jul 8, 2025
In the industry
24 y
since Sep 12, 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
- Southern California Wealth Management Associates state registered currentsince Jul 8, 2025 · Rolling Hills Estates, Ca
- Western International Securities formerAug 21, 2017 to May 30, 2025 · Clovis, Ca
- Financial West Group formerSep 23, 2015 to Aug 21, 2017 · Pasadena, Ca
- First Brokerage America, L.L.C. unclassifiedDec 2, 2011 to Sep 26, 2015 · Rowland Heights, Ca
- Citicorp Investment Services unclassifiedJun 8, 2005 to Nov 20, 2006 · Pasadena, Ca
- Wamu Investments, Inc. unclassifiedJul 30, 2003 to May 19, 2005 · Temple City, Ca
- Ameriprise Financial Services, LLC national BDOct 11, 2002 to Aug 4, 2003 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- Western International Securities to Southern California Wealth Management Associatesleft May 30, 2025, registered Jul 8, 2025 (39 days) · Affiliated broker-dealer or bank to a state-registered adviser
- Financial West Group to Western International Securitiesleft Aug 21, 2017, registered Aug 21, 2017 (0 days) · corporate re-registration, not a move
- First Brokerage America, L.L.C. to Financial West Groupleft Sep 26, 2015, registered Sep 23, 2015 (-3 days) · Other
- Citicorp Investment Services to First Brokerage America, L.L.C.left Nov 20, 2006, registered Dec 2, 2011 (1838 days) · Other
- Wamu Investments, Inc. to Citicorp Investment Servicesleft May 19, 2005, registered Jun 8, 2005 (20 days) · Other
- Ameriprise Financial Services, LLC to Wamu Investments, Inc.left Aug 4, 2003, registered Jul 30, 2003 (-5 days) · Other
Signals
- Helen Hsi-Shan Lin left Western International Securities for Southern California Wealth Management Associates (registered 2025-07-08)May 30, 2025 · 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
- STATE REGISTEREDderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address