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•••• L••

C••••• I••••••••• A••••••• L••BD affiliatedPasadena, Cadual registrantIAPD 5523620

Feed of 09/14/2026

Also filed as Chu Young Lee

At current firm

2 y

since Jun 27, 2024

In the industry

17 y

since Jul 14, 2009 (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

C••••• I••••••••• A••••••• L•• BD affiliated current
since Jun 27, 2024 · Pasadena, Ca
C•••••••• G••••• M•••••• I••• BD affiliated
Jun 28, 2022 to Jun 19, 2024 · Whittier, Ca
J••• M••••• S••••••••• L•• wirehouse
Sep 30, 2021 to May 3, 2022 · Fullerton, Ca
U••• B•••••• I••••••••• I••• former
Feb 25, 2019 to Sep 28, 2021 · Whittier, Ca
U••• B•••••• I••••••••• I••• former
Sep 6, 2017 to Dec 6, 2018 · San Francisco, Ca
B••••••• I••••••••• S•••••••• I••• ••••• former
May 2, 2013 to Aug 21, 2017 · San Francisco, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Feb 10, 2012 to Mar 6, 2013 · Yorba Linda, Ca
U••• B•••••• A•••••••• L•• BD affiliated
Dec 23, 2009 to Jan 31, 2012 · Irvine, Ca
U••• B•••••• A•••••••• L•• BD affiliated
Jul 15, 2009 to Aug 26, 2009 · Irvine, Ca

Moves

a registration end followed by a registration begin elsewhere

C•••••••• G••••• M•••••• I••• to C••••• I••••••••• A••••••• L••
left Jun 19, 2024, registered Jun 27, 2024 (8 days) · Affiliated broker-dealer or bank to another
J••• M••••• S••••••••• L•• to C•••••••• G••••• M•••••• I•••
left May 3, 2022, registered Jun 28, 2022 (56 days) · Wirehouse to affiliated broker-dealer or bank
U••• B•••••• I••••••••• I••• to J••• M••••• S••••••••• L••
left Sep 28, 2021, registered Sep 30, 2021 (2 days) · Affiliated broker-dealer or bank to wirehouse
B••••••• I••••••••• S•••••••• I••• ••••• to U••• B•••••• I••••••••• I•••
left Aug 21, 2017, registered Sep 6, 2017 (16 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••••••• I••••••••• S•••••••• I••• •••••
left Mar 6, 2013, registered May 2, 2013 (57 days) · Other
U••• B•••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jan 31, 2012, registered Feb 10, 2012 (10 days) · Other

Signals

S•••• L•• left C•••••••• G••••• M•••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2024-06-27)
Jun 19, 2024 · Advisor changed firm · fact
S•••• L•• left J••• M••••• S••••••••• L•• for C•••••••• G••••• M•••••• I••• (registered 2022-06-28)
May 3, 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: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address