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

Tammy Nguyen Lee

Arax Advisory PartnersBD affiliatedTustin, Ca IA-onlyIAPD 4984629

Certified Financial Planner

Feed of 09/15/2026

Also filed as Tammy Nguyen Ho

At current firm

0 y

since Jul 19, 2026

In the industry

18 y

since Jan 22, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Arax Advisory Partners BD affiliated current
since Jul 19, 2026 · New York, Ny
U.S. Capital Wealth Advisors, LLC BD affiliated
Dec 16, 2022 to Jul 20, 2026 · Tustin, Ca
Alpha Cubed Investments, LLC former
Dec 26, 2019 to Dec 22, 2022 · Costa Mesa, Ca
Retirement Wellness Group institutional
Jul 10, 2019 to Dec 13, 2019 · Pasadena, Ca
Bridge Advisory LLC former
Jan 30, 2015 to Dec 13, 2019 · Newport Beach, Ca
F500 Advisory Services, Inc. former
Feb 13, 2008 to Nov 14, 2014 · Newport Beach, Ca

Moves

a registration end followed by a registration begin elsewhere

U.S. Capital Wealth Advisors, LLC to Arax Advisory Partners
left Jul 20, 2026, registered Jul 19, 2026 (-1 days) · corporate re-registration, not a move
Alpha Cubed Investments, LLC to U.S. Capital Wealth Advisors, LLC
left Dec 22, 2022, registered Dec 16, 2022 (-6 days) · RIA to affiliated broker-dealer or bank
Bridge Advisory LLC to Retirement Wellness Group
left Dec 13, 2019, registered Jul 10, 2019 (-156 days) · Other
Retirement Wellness Group to Alpha Cubed Investments, LLC
left Dec 13, 2019, registered Dec 26, 2019 (13 days) · Other
F500 Advisory Services, Inc. to Bridge Advisory LLC
left Nov 14, 2014, registered Jan 30, 2015 (77 days) · Other

Signals

Tammy Nguyen Lee left Alpha Cubed Investments, Llc for U.S. Capital Wealth Advisors, Llc (registered 2022-12-16)
Dec 22, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address