David S. Lim

LEO WEALTH

Singapore,

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CRD#: 4592229

Professional summary

David Swee Hock Lim is a registered financial advisor currently at LEO WEALTH, LLC and LEO BROKERAGE, LLC .

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. David has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

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.

TIETAX, LLC; Not Investment-Related; 85 BUKIT DRIVE #01-13 SINGAPORE 587848; US Tax Preparation; Owner; Title: N/A; Started: January 2010; 15% of time per month, 30 minutes to an hour during securities trading hours; I prepare US Tax Returns for Clients.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Swee Hock Lim'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

March 31, 2025 - Present

LEO WEALTH, LLC

RIA

CRD#: 283891

Singapore,

Current

March 31, 2025 - Present

LEO BROKERAGE, LLC

CRD#: 109121

SINGAPORE,

Past

March 17, 2025 - April 8, 2025

EXPATRIATE FINANCIAL STRATEGIES LLC

RIA

CRD#: 334264

LAS VEGAS, NV

Past

June 4, 2009 - March 3, 2025

IC ADVISORY SERVICES, INC.

RIA

CRD#: 140190

LAS VEGAS, NV

Past

June 4, 2009 - March 3, 2025

THE INVESTMENT CENTER, INC.

CRD#: 17839

LAS VEGAS, NV

Past

November 15, 2002 - June 2, 2009

WADDELL & REED

RIA

CRD#: 866

SAN MATEO, CA

Past

November 1, 2002 - June 2, 2009

WADDELL & REED

CRD#: 866

SAN MATEO, 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".

LEO WEALTH, LLC

CRD#: 283891 / SEC#: 801-108435

RIA

Registered Investment Advisory firm - (9/26/2016 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(3/31/2025)

California
(3/31/2025)

Massachusetts
(3/31/2025)

New York
(3/31/2025)

Texas
(3/31/2025)

IAR

Texas
(3/31/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/13/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/30/2002

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

LEO WEALTH, LLC

CRD#: 283891 / SEC#: 801-108435

RIA

Registered Investment Advisory firm - (9/26/2016 Approved)

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Contact information

Main Address

860 Airport Freeway Suite 402, Hurst, TX 76054

Mailing Address

Phone number

(817) 354-1090

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LEO WEALTH, LLC - ADV PART 2A BROCHURE (7/24/2025)

Regulatory assets under management

Total Number of Accounts	4,566
AUM (Assets Under Management)	$ 2,655,950,651

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/11/2025	Cover Page	Report
10/23/2024	Cover Page	Report
11/30/2023	Cover Page	Report

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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Firm Stability Insights

David S. Lim

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Swee Hock Lim's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEO BROKERAGE, LLC

EXPATRIATE FINANCIAL STRATEGIES LLC

IC ADVISORY SERVICES, INC.

THE INVESTMENT CENTER, INC.

WADDELL & REED

WADDELL & REED

Primary Firm SEC Registration

LEO WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/13/2002

SIE

Date: 10/1/2018

Series 7

Date: 10/30/2002

FINRA

Current Firm

LEO WEALTH, LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

LEO WEALTH, LLC

TRUST BUT VERIFY

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