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

Ziying Zhou

Prospera Financial Services, Inc.BD affiliatedSan Jose, Cadual registrantIAPD 7176247

Feed of 09/14/2026

Also filed as Ziying Zhou

At current firm

2 y

since Aug 28, 2024

In the industry

13 y

since Sep 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

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Prospera Financial Services, Inc. BD affiliated current
since Aug 28, 2024 · San Jose, Ca
Cerity Partners LLC independent RIA
Feb 27, 2024 to Jul 22, 2024 · Mill Valley, Ca
Hightower Advisors, LLC BD affiliated
Sep 21, 2023 to Nov 9, 2023 · Dallas, Tx
Hub Investment Partners, LLC independent RIA
Feb 13, 2023 to Mar 30, 2023 · Austin, Tx
Northwestern Mutual Investment Services,LLC no RAUM
Apr 1, 2022 to Jun 20, 2022 · Austin, Tx
Northwestern Mutual Investment Services,LLC no RAUM
Jan 6, 2022 to Feb 17, 2022 · New York, Ny
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Jul 28, 2020 to Sep 16, 2020 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

Cerity Partners LLC to Prospera Financial Services, Inc.
left Jul 22, 2024, registered Aug 28, 2024 (37 days) · RIA to affiliated broker-dealer or bank
Hightower Advisors, LLC to Cerity Partners LLC
left Nov 9, 2023, registered Feb 27, 2024 (110 days) · Affiliated broker-dealer or bank to independent RIA
Hub Investment Partners, LLC to Hightower Advisors, LLC
left Mar 30, 2023, registered Sep 21, 2023 (175 days) · Other
Northwestern Mutual Investment Services,LLC to Hub Investment Partners, LLC
left Jun 20, 2022, registered Feb 13, 2023 (238 days) · Other
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Northwestern Mutual Investment Services,LLC
left Sep 16, 2020, registered Jan 6, 2022 (477 days) · Other

Signals

Ziying Zhou left Cerity Partners Llc for Prospera Financial Services, Inc. (registered 2024-08-28)
Jul 22, 2024 · Advisor changed firm · fact
Ziying Zhou left Hightower Advisors, Llc for Cerity Partners Llc (registered 2024-02-27)
Nov 9, 2023 · Advisor changed firm · fact
Ziying Zhou left Hub Investment Partners, Llc for Hightower Advisors, Llc (registered 2023-09-21)
Mar 30, 2023 · Advisor changed firm · fact
Ziying Zhou left Northwestern Mutual Investment Services,Llc for Hub Investment Partners, Llc (registered 2023-02-13)
Jun 20, 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: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address