Sylvia S. Kwan

SIMPLYSMART ASSET MANAGEMENT

San Francisco, CA

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CRD#: 2805281

Professional summary

Sylvia Shiu Han Kwan is a registered financial advisor currently at SIMPLYSMART ASSET MANAGEMENT located in San Francisco, California and ELLEVEST located in New York, New York.

Sylvia is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Sylvia has worked at 3 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

From 1/2010, Ms. Kwan has served as Co-founder and Chief Investment Officer of SimplySmart Asset Management, Inc. a CA registered investment adviser. Since joining Ellevest in March, 2015, she spends roughly half of her time in New York and half in California. Hours devoted to SimplySmart and Ellevest varies from week to week, depending upon business needs. Her duties at SimplySmart include business and portfolio management.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sylvia Shiu Han Kwan's CRS (Customer Relationship Summary).

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

April 5, 2010 - Present

SIMPLYSMART ASSET MANAGEMENT

RIA

CRD#: 152991

San Francisco, CA

Current

February 16, 2016 - Present

ELLEVEST

Office #1: 48 West 25th Street 6th Floor, New York, NY, 10010

RIA

CRD#: 175476

New York, NY

Past

December 3, 1999 - September 15, 2008

EDELMAN FINANCIAL ENGINES

RIA

CRD#: 104510

PALO ALTO, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ELLEVEST

ELLEVATE FINANCIAL, INC. | ELLEVEST, INC. | ELLEVEST

CRD#: 175476 / SEC#: 801-106683

RIA

Registered Investment Advisory firm - (9/28/2015 Approved)

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
(4/5/2010)

IAR

New York
(8/31/2021)

IAR

Texas
(2/16/2016)

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: 9/9/1999

Uniform Investment Adviser Law Examination

Current Firm

ELLEVEST

ELLEVATE FINANCIAL, INC. | ELLEVEST, INC. | ELLEVEST

CRD#: 175476 / SEC#: 801-106683

RIA

Registered Investment Advisory firm - (9/28/2015 Approved)

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Contact information

Main Address

228 Park Ave S Pmb 94934, New York, NY 10003

Mailing Address

228 Park Ave S Pmb 94934, New York, NY 10003-1502

Phone number

(844) 355-7100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ELLEVEST WRAP FEE PROGRAM BROCHURE (3/31/2025)

ELLEVEST INVESTMENT ADVISORY BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	344
AUM (Assets Under Management)	$ 1,012,582,923

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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

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Sylvia S. Kwan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sylvia Shiu Han Kwan's CRS (Customer Relationship Summary).

Certified licenses

Experience

SIMPLYSMART ASSET MANAGEMENT

ELLEVEST

EDELMAN FINANCIAL ENGINES

Primary Firm SEC Registration

ELLEVEST

State Registrations and Notice Filings

Exams

Series 65

Date: 9/9/1999

Current Firm

ELLEVEST

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ELLEVEST

TRUST BUT VERIFY

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