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

Siyuan Zhang

LPL Enterprise, LLCBD affiliatedSan Jose, Cadual registrantIAPD 7682445

Feed of 09/14/2026

Also filed as Cindy Zhang

At current firm

1 y

since Jan 22, 2025

In the industry

11 y

since Dec 1, 2014 (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

LPL Enterprise, LLC BD affiliated current
since Jan 22, 2025 · San Jose, Ca
Pruco Securities, LLC no RAUM
Oct 4, 2024 to Dec 6, 2024 · Newark, Nj
Transamerica Financial Advisors, LLC BD affiliated
Jan 29, 2024 to Oct 4, 2024 · Alviso, Ca
Vista Wealth LLC unclassified
May 4, 2023 to Nov 18, 2023 · Pleasanton, Ca

Moves

a registration end followed by a registration begin elsewhere

Pruco Securities, LLC to LPL Enterprise, LLC
left Dec 6, 2024, registered Jan 22, 2025 (47 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
Transamerica Financial Advisors, LLC to Pruco Securities, LLC
left Oct 4, 2024, registered Oct 4, 2024 (0 days) · Affiliated broker-dealer or bank to another
Vista Wealth LLC to Transamerica Financial Advisors, LLC
left Nov 18, 2023, registered Jan 29, 2024 (72 days) · Other

Signals

Siyuan Zhang left Pruco Securities, Llc for Lpl Enterprise, Llc (registered 2025-01-22)
Dec 6, 2024 · Advisor changed firm · fact
Siyuan Zhang left Transamerica Financial Advisors, Llc for Pruco Securities, Llc (registered 2024-10-04)
Oct 4, 2024 · Advisor changed firm · fact
Siyuan Zhang left Vista Wealth Llc for Transamerica Financial Advisors, Llc (registered 2024-01-29)
Nov 18, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address