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
David Ta-Wai Yu
Feed of 09/15/2026
At current firm
6 y
since Nov 1, 2019
In the industry
27 y
since Jun 1, 1999 (earliest exam, job or registration)
Prior registered firms
4
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- Independent Financial Partners BD affiliated currentsince Nov 1, 2019 · Fort Lauderdale, Fl
- Kovack Advisors, Inc. BD affiliatedFeb 18, 2014 to Oct 25, 2019 · Ft. Lauderdale, Fl
- International Assets Investment Management, LLC BD affiliatedJan 25, 2013 to Mar 7, 2014 · Orlando, Fl
- Questar Asset Management, Inc. formerMay 19, 2011 to Jan 30, 2013 · Ft Lauderdale, Fl
- Financial Planning Associates,Inc. unclassifiedOct 15, 2008 to Jan 11, 2011 · Pleasantville, Ny
Moves
a registration end followed by a registration begin elsewhere
- Kovack Advisors, Inc. to Independent Financial Partnersleft Oct 25, 2019, registered Nov 1, 2019 (7 days) · Affiliated broker-dealer or bank to another
- International Assets Investment Management, LLC to Kovack Advisors, Inc.left Mar 7, 2014, registered Feb 18, 2014 (-17 days) · Other
- Questar Asset Management, Inc. to International Assets Investment Management, LLCleft Jan 30, 2013, registered Jan 25, 2013 (-5 days) · Other
- Financial Planning Associates,Inc. to Questar Asset Management, Inc.left Jan 11, 2011, registered May 19, 2011 (128 days) · Other
Signals
No dated event on this person.
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address