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

Karena Zhu

MarinerBD affiliatedPittsburg, Ca IA-onlyIAPD 6276048

Certified Financial Planner

Feed of 09/14/2026

Also filed as Zhong Ming Zhu

At current firm

0 y

since Aug 17, 2026

In the industry

13 y

since Jan 1, 2013 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Mariner BD affiliated current
since Aug 17, 2026 · Walnut Creek, Ca
Destination Wealth Management independent RIA
Apr 4, 2025 to Jul 30, 2026 · Walnut Creek, Ca
Transamerica Financial Advisors, LLC BD affiliated
May 15, 2024 to Jan 7, 2025 · Alviso, Ca
Citigroup Global Markets Inc. BD affiliated
Dec 13, 2021 to Apr 10, 2024 · San Francisco, Ca
Morgan Stanley wirehouse
Jun 23, 2020 to Nov 16, 2021 · San Francisco, Ca
Hsbc Securities (USA) Inc. BD affiliated
Jan 6, 2020 to Jun 2, 2020 · Oakland, Ca

Moves

a registration end followed by a registration begin elsewhere

Destination Wealth Management to Mariner
left Jul 30, 2026, registered Aug 17, 2026 (18 days) · RIA to affiliated broker-dealer or bank
Transamerica Financial Advisors, LLC to Destination Wealth Management
left Jan 7, 2025, registered Apr 4, 2025 (87 days) · Affiliated broker-dealer or bank to independent RIA
Citigroup Global Markets Inc. to Transamerica Financial Advisors, LLC
left Apr 10, 2024, registered May 15, 2024 (35 days) · Affiliated broker-dealer or bank to another
Morgan Stanley to Citigroup Global Markets Inc.
left Nov 16, 2021, registered Dec 13, 2021 (27 days) · Wirehouse to affiliated broker-dealer or bank
Hsbc Securities (USA) Inc. to Morgan Stanley
left Jun 2, 2020, registered Jun 23, 2020 (21 days) · Affiliated broker-dealer or bank to wirehouse

Signals

Karena Zhu left Destination Wealth Management for Mariner (registered 2026-08-17)
Jul 30, 2026 · Advisor changed firm · fact
Karena Zhu left Transamerica Financial Advisors, Llc for Destination Wealth Management (registered 2025-04-04)
Jan 7, 2025 · Advisor changed firm · fact
Karena Zhu left Citigroup Global Markets Inc. for Transamerica Financial Advisors, Llc (registered 2024-05-15)
Apr 10, 2024 · 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: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address