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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

S••••• Y•••••• A••

P•••••••• S••••••••• I•••BD affiliatedIrvine, Cadual registrantIAPD 5287469

Feed of 09/14/2026

Also filed as Sylvia Ahn

At current firm

2 y

since Apr 8, 2024

In the industry

16 y

since Oct 5, 2009 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

P•••••••• S••••••••• I••• BD affiliated current
since Apr 8, 2024 · Irvine, Ca
M•• I•••••••• S•••••••• L•• BD affiliated
Nov 16, 2022 to Apr 9, 2024 · Costa Mesa, Ca
S••••••• F•••••••• S•••••••• I••• former
Sep 9, 2020 to Nov 18, 2022 · Newport Beach, Ca
H••••••• I••••••••• former
Nov 8, 2019 to Jul 16, 2020 · Los Angeles, Ca
E•••••••• A•••••••• L•• national BD
Oct 5, 2009 to Jan 20, 2012 · Cerritos, Ca

Moves

a registration end followed by a registration begin elsewhere

M•• I•••••••• S•••••••• L•• to P•••••••• S••••••••• I•••
left Apr 9, 2024, registered Apr 8, 2024 (-1 days) · Affiliated broker-dealer or bank to another
S••••••• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••
left Nov 18, 2022, registered Nov 16, 2022 (-2 days) · RIA to affiliated broker-dealer or bank
H••••••• I••••••••• to S••••••• F•••••••• S•••••••• I•••
left Jul 16, 2020, registered Sep 9, 2020 (55 days) · RIA to affiliated broker-dealer or bank
E•••••••• A•••••••• L•• to H••••••• I•••••••••
left Jan 20, 2012, registered Nov 8, 2019 (2849 days) · Affiliated broker-dealer or bank to independent RIA

Signals

S••••• Y•••••• A•• left M•• I•••••••• S•••••••• L•• for P•••••••• S••••••••• I••• (registered 2024-04-08)
Apr 9, 2024 · Advisor changed firm · fact
S••••• Y•••••• A•• left S••••••• F•••••••• S•••••••• I••• for M•• I•••••••• S•••••••• L•• (registered 2022-11-16)
Nov 18, 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: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address