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
Carmen Hui
Feed of 09/14/2026
At current firm
1 y
since Apr 7, 2025
In the industry
16 y
since Dec 11, 2009 (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, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Invesco Advisers, Inc. asset manager currentsince Apr 7, 2025 · New York, Ny
- New York Life Investment Management LLC asset managerMay 21, 2018 to Apr 2, 2025 · New York, Ny
- Columbia Management Investment Advisers, LLC asset managerJan 14, 2015 to Nov 30, 2016 · Boston, Ma
- Wells Fargo Advisors wirehouseSep 17, 2013 to Jan 8, 2015 · New York, Ny
- J.P. Morgan Securities LLC wirehouseJan 3, 2013 to Sep 4, 2013 · Brooklyn, Ny
Moves
a registration end followed by a registration begin elsewhere
- New York Life Investment Management LLC to Invesco Advisers, Inc.left Apr 2, 2025, registered Apr 7, 2025 (5 days) · Other
- Columbia Management Investment Advisers, LLC to New York Life Investment Management LLCleft Nov 30, 2016, registered May 21, 2018 (537 days) · Other
- Wells Fargo Advisors to Columbia Management Investment Advisers, LLCleft Jan 8, 2015, registered Jan 14, 2015 (6 days) · Other
- J.P. Morgan Securities LLC to Wells Fargo Advisorsleft Sep 4, 2013, registered Sep 17, 2013 (13 days) · Wirehouse to wirehouse
Signals
- Carmen Hui left New York Life Investment Management Llc for Invesco Advisers, Inc. (registered 2025-04-07)Apr 2, 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address