Unclaimed Profile

Alfred Ho Fai Au

DIVERSIFI CAPITAL LLC·LOS ALTOS, California

Series 65Clean record12 years registeredDIVERSIFI CAPITAL LLC

4546 EL CAMINO REAL B10, LOS ALTOS, CA 94022CRD# 6213875Firm CRD# 242788

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Alfred Ho Fai Au · LOS ALTOS, CA

Registration

CRD #6213875 · DIVERSIFI CAPITAL LLC · 12 years registered

Brand Profile

Not yet started

Career History

DIVERSIFI CAPITAL INC

Jun 2018 – present

DRAGON FINANCIAL GROUP

Jan 2016 – Jul 2018

SAN MATEO, CA

DRAGON FINANCIAL GROUP

Feb 2014 – May 2016

SAN MATEO, CA

Registrations & Exams

FINRA examinations passed

Series 65

Registration record

First registered · February 14, 2014

Years registered · 12

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

DIVERSIFI CAPITAL LLC

CRD 242788 · SEC 801-121391

AUM

$288M

Regulatory assets under management

Employees

698 client accounts

Services offered by DIVERSIFI CAPITAL LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Pension consulting

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

Pension & Retirement Plans

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at DIVERSIFI CAPITAL LLC →

Introduction

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Frequently Asked Questions

What services does Alfred Ho Fai Au offer?

Alfred Ho Fai Au specializes in Financial Planning, Investment Management, Retirement Planning. Contact their office in LOS ALTOS, California for a consultation.

What are Alfred Ho Fai Au's credentials?

Alfred Ho Fai Au is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Alfred Ho Fai Au located?

Alfred Ho Fai Au is based in LOS ALTOS, California, working with DIVERSIFI CAPITAL LLC. Their office serves clients in the LOS ALTOS metropolitan area and surrounding communities.

How does Alfred Ho Fai Au charge for services?

Alfred Ho Fai Au's firm is compensated through percentage of aum, subscription fees, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is DIVERSIFI CAPITAL LLC?

DIVERSIFI CAPITAL LLC has approximately 12 employees and manages $288M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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