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

J•••••• Y••

E•••••• A••••••• G••••• L••BD affiliatedLong Beach, Ca dual registrantIAPD 6848227

Feed of 09/14/2026

Also filed as Jeffrey Cheng Yau

At current firm

0 y

since Jul 15, 2026

In the industry

10 y

since Mar 1, 2016 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E•••••• A••••••• G••••• L•• BD affiliated current
since Jul 15, 2026 · Long Beach, Ca
G••••• R••••••••• P••••••• L•• institutional
Dec 17, 2025 to Apr 18, 2026 · Long Beach, Ca
S•••••••• A••••••• L•• national BD
Mar 31, 2025 to Dec 12, 2025 · Anaheim, Ca
F••••••• P••••••• A•• W•••••••• A••••••• former
Aug 16, 2023 to Mar 31, 2025 · Brea, Ca
M••••• S•••••• wirehouse
Oct 26, 2022 to May 9, 2023 · Laguna Niguel, Ca
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Feb 1, 2022 to Oct 17, 2022 · Irvine, Ca
C•••••• S••••• • C••• I••• national BD
Oct 14, 2020 to Dec 20, 2021 · Milpitas, Ca

Moves

a registration end followed by a registration begin elsewhere

G••••• R••••••••• P••••••• L•• to E•••••• A••••••• G••••• L••
left Apr 18, 2026, registered Jul 15, 2026 (88 days) · Other
S•••••••• A••••••• L•• to G••••• R••••••••• P••••••• L••
left Dec 12, 2025, registered Dec 17, 2025 (5 days) · Other
F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
M••••• S•••••• to F••••••• P••••••• A•• W•••••••• A•••••••
left May 9, 2023, registered Aug 16, 2023 (99 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
N••••••••• M••••• I••••••••• S••••••••• to M••••• S••••••
left Oct 17, 2022, registered Oct 26, 2022 (9 days) · Other
C•••••• S••••• • C••• I••• to N••••••••• M••••• I••••••••• S•••••••••
left Dec 20, 2021, registered Feb 1, 2022 (43 days) · Other

Signals

J•••••• Y•• left G••••• R••••••••• P••••••• L•• for E•••••• A••••••• G••••• L•• (registered 2026-07-15)
Apr 18, 2026 · Advisor changed firm · fact
J•••••• Y•• left S•••••••• A••••••• L•• for G••••• R••••••••• P••••••• L•• (registered 2025-12-17)
Dec 12, 2025 · Advisor changed firm · fact
J•••••• Y•• left M••••• S•••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-08-16)
May 9, 2023 · Advisor changed firm · fact
J•••••• Y•• left N••••••••• M••••• I••••••••• S••••••••• for M••••• S•••••• (registered 2022-10-26)
Oct 17, 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address