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•••••• Y••••••••• K••

U••• B•••••• A•••••••• L••BD affiliatedYucca Valley, Ca dual registrantIAPD 6415842

Feed of 09/15/2026

Also filed as Steven Kuo

At current firm

1 y

since Jan 7, 2025

In the industry

10 y

since Mar 12, 2016 (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

U••• B•••••• A•••••••• L•• BD affiliated current
since Jan 7, 2025 · Cathedral City, Ca
C•••••• S••••• • C••• I••• national BD
Jan 26, 2022 to Jan 10, 2024 · Indian Wells, Ca
T• A••••••••• I••••••••• M••••••••• L•• former
Oct 24, 2016 to Sep 7, 2023 · Indian Wells, Ca
T• A••••••••• I••• former
Oct 24, 2016 to Oct 14, 2022 · Indian Wells, Ca
W•••••• • R••• former
Mar 14, 2016 to Nov 3, 2016 · Indian Wells, Ca

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to U••• B•••••• A•••••••• L••
left Jan 10, 2024, registered Jan 7, 2025 (363 days) · Affiliated broker-dealer or bank to another
T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Oct 14, 2022, registered Oct 24, 2016 (-2181 days) · corporate re-registration, not a move
W•••••• • R••• to T• A••••••••• I•••
left Nov 3, 2016, registered Oct 24, 2016 (-10 days) · Other · moved with a team

Signals

S•••••• Y••••••••• K•• left C•••••• S••••• • C••• I••• for U••• B•••••• A•••••••• L•• (registered 2025-01-07)
Jan 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address