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
Lai Shan Kwong
Feed of 09/15/2026
Also filed as Lisa Kwong
At current firm
3 y
since May 4, 2023
In the industry
10 y
since Oct 1, 2015 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- William Blair & Company L.L.C. BD affiliated currentsince May 4, 2023 · San Francisco, Ca
- J.P. Morgan Private Wealth Advisors LLC formerJun 28, 2022 to May 26, 2023 · San Francisco, Ca
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseMar 28, 2022 to Jul 1, 2022 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- J.P. Morgan Private Wealth Advisors LLC to William Blair & Company L.L.C.left May 26, 2023, registered May 4, 2023 (-22 days) · Affiliated broker-dealer or bank to another · moved with a team
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to J.P. Morgan Private Wealth Advisors LLCleft Jul 1, 2022, registered Jun 28, 2022 (-3 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- Lai Shan Kwong left J.P. Morgan Private Wealth Advisors Llc for William Blair & Company L.L.C. (registered 2023-05-04)May 26, 2023 · Advisor changed firm · fact
- Lai Shan Kwong left Merrill Lynch, Pierce, Fenner & Smith Incorporated for J.P. Morgan Private Wealth Advisors Llc (registered 2022-06-28)Jul 1, 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