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•••• T••••• Y••

W•••• F•••• A•••••••wirehouseMountain View, Ca dual registrantIAPD 6909786

Feed of 09/15/2026

Also filed as Sue Chang Yee

At current firm

2 y

since Jul 25, 2024

In the industry

9 y

since Oct 1, 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

W•••• F•••• A••••••• wirehouse current
since Jul 25, 2024 · Palo Alto, Ca
J••• M••••• S••••••••• L•• wirehouse
Jun 28, 2022 to Nov 16, 2023 · Plano, Tx
S••••••••• A•••••• A•••••••• I••• former
Feb 21, 2020 to Nov 5, 2020 · New York, Ny
C•••••••• G••••• M•••••• I••• BD affiliated
May 7, 2019 to Jan 17, 2020 · New York, Ny
M••••• S•••••• wirehouse
Nov 28, 2018 to Apr 24, 2019 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••
left Nov 16, 2023, registered Jul 25, 2024 (252 days) · Wirehouse to wirehouse
S••••••••• A•••••• A•••••••• I••• to J••• M••••• S••••••••• L••
left Nov 5, 2020, registered Jun 28, 2022 (600 days) · Affiliated broker-dealer or bank to wirehouse
C•••••••• G••••• M•••••• I••• to S••••••••• A•••••• A•••••••• I•••
left Jan 17, 2020, registered Feb 21, 2020 (35 days) · Affiliated broker-dealer or bank to another
M••••• S•••••• to C•••••••• G••••• M•••••• I•••
left Apr 24, 2019, registered May 7, 2019 (13 days) · Wirehouse to affiliated broker-dealer or bank

Signals

S•••• T••••• Y•• left J••• M••••• S••••••••• L•• for W•••• F•••• A••••••• (registered 2024-07-25)
Nov 16, 2023 · 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: Wirehousederived
Years in industry: 9derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address