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
Tony Tat Yan Lam
Feed of 09/15/2026
Also filed as Tony Lam
At current firm
3 y
since Jul 19, 2023
In the industry
15 y
since Aug 10, 2011 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Jul 19, 2023 · Rosemead, Ca
- Bancwest Investment Services, Inc. (Bwis) formerAug 24, 2018 to Jul 19, 2023 · Pasadena, Ca
- U.S. Bancorp Investments, Inc. formerApr 7, 2015 to Aug 18, 2017 · Upland, Ca
- J.P. Morgan Securities LLC wirehouseOct 1, 2012 to Apr 16, 2015 · San Francisco, Ca
- Chase Investment Services Corp. formerSep 20, 2012 to Oct 1, 2012 · San Francisco, Ca
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOct 7, 2011 to Sep 4, 2012 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- Bancwest Investment Services, Inc. (Bwis) to LPL Financial LLCleft Jul 19, 2023, registered Jul 19, 2023 (0 days) · corporate re-registration, not a move
- U.S. Bancorp Investments, Inc. to Bancwest Investment Services, Inc. (Bwis)left Aug 18, 2017, registered Aug 24, 2018 (371 days) · Other
- J.P. Morgan Securities LLC to U.S. Bancorp Investments, Inc.left Apr 16, 2015, registered Apr 7, 2015 (-9 days) · Other
- Chase Investment Services Corp. to J.P. Morgan Securities LLCleft Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Chase Investment Services Corp.left Sep 4, 2012, registered Sep 20, 2012 (16 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address