Yu-lung Tsao

GRIFFINEST ASIA ASSET MANAGEMENT

Taipei City,

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CRD#: 2134784

Professional summary

Yu-lung Tsao, who also goes by Yu Lung Tsao, is a registered financial advisor currently at GRIFFINEST ASIA ASSET MANAGEMENT, LLC and GRIFFINEST ASIA SECURITIES, LLC located in Pasadena, California.

Yu-lung is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Yu-lung has worked at 5 firms and has passed the Series 65, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Yu Lung Tsao

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Foreign associate of Griffinest Asia Securities, LLC, investment related, 3452 E. Foothill Blvd., Suite 100, Pasadena, CA 91107, spend 40 hours /week. Managing Member of RichFun Management LLC, it is investment-related, the address is located at 9th FL., No. 101 Fushing N. Rd.Taipei City, Taiwan, RichFun Management LLC is a General Partner and Investment Manager of RichFun Portfolio LP. RichFun Portfolio LP, a Delaware limited partnership (the "Partnership"), of limited partnership interests unitized as shares (the "Shares") in the Partnership. The Shares are being offered to a limited number of individual or institutional investors that qualify as "accredited investors," within the meaning of Securities and Exchange Commission ("SEC") Regulation D promulgated under the Securities Act of 1933, as amended (the "Securities Act"). The sole general partner of the Partnership is RichFun Management LLC, a Delaware limited liability company (the "General Partner"). Yu-Lung (Jon) Tsao is the managing member of the General Partner. The start date is April 2021. I devote 20 hours a month to the other business during securities hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Yu-lung Tsao's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 23, 2021 - Present

GRIFFINEST ASIA ASSET MANAGEMENT, LLC

RIA

CRD#: 306355

Taipei City,

Current

July 11, 2017 - Present

GRIFFINEST ASIA SECURITIES, LLC

Office #1: 301 North Lake Avenue Suite 110, Pasadena, CA 91101

CRD#: 132187

PASADENA, CA

Past

August 27, 2007 - December 1, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

December 19, 2000 - October 12, 2005

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

October 17, 1991 - April 12, 1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

March 28, 1991 - December 7, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(3/23/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/15/2021

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 3

Date: 10/31/1992

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 3/16/1991

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

GRIFFINEST ASIA ASSET MANAGEMENT, LLC

CRD#: 306355 / SEC#:

California

Registered Investment Advisory firm - (1/3/2020 Approved)

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Contact information

Main Address

301 N. Lake Ave., Suite 110, Pasadena, CA 91101

Mailing Address

Phone number

(626) 792-1388

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	9
AUM (Assets Under Management)	$ 10,266,083

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Yu-lung Tsao

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Yu-lung Tsao's CRS (Customer Relationship Summary).

Certified licenses

Experience

GRIFFINEST ASIA ASSET MANAGEMENT, LLC

GRIFFINEST ASIA SECURITIES, LLC

CITIGROUP GLOBAL MARKETS INC.

PRUDENTIAL EQUITY GROUP, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 1/15/2021

Series 3

Date: 10/31/1992

Series 7

Date: 3/16/1991

FINRA

Current Firm

GRIFFINEST ASIA ASSET MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GRIFFINEST ASIA ASSET MANAGEMENT, LLC

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