Zhaohui N. Li

ACELA CAPITAL MANAGEMENT

Los Altos, CA 94022

Some features on this profile are disabled

CRD#: 4748599

Professional summary

Zhaohui Nmn Li is a registered financial advisor currently at ACELA CAPITAL MANAGEMENT, LLC located in Los Altos, California.

Zhaohui is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Zhaohui has worked at 5 firms and has passed the Series 66, Series 31 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Zhaohui Nmn Li'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

May 25, 2010 - Present

ACELA CAPITAL MANAGEMENT, LLC

Office #1: 520 Valencia Drive, Los Altos, CA 94022

RIA

CRD#: 153444

Los Altos, CA

Past

October 31, 2011 - September 13, 2013

FINANCIAL TELESIS INC

CRD#: 31012

CUPERTINO, CA

Past

June 1, 2009 - June 15, 2010

MORGAN STANLEY

RIA

CRD#: 149777

CUPERTINO, CA

Past

June 1, 2009 - June 15, 2010

MORGAN STANLEY

CRD#: 149777

CUPERTINO, CA

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

CUPERTINO, CA

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

CUPERTINO, CA

Past

April 1, 2004 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

CUPERTINO, CA

Past

March 8, 2004 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

CUPERTINO, CA

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
(5/25/2010)

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 66

Date: 3/29/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 7/10/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/5/2004

General Securities Representative Examination

Current Firm

ACELA CAPITAL MANAGEMENT, LLC

CRD#: 153444 / SEC#: 801-71284

RIA

Registered Investment Advisory firm - (3/21/2011 Terminated)

California

Registered Investment Advisory firm - (3/8/2011 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

520 Valencia Drive, Los Altos, CA 94022

Mailing Address

Phone number

(415) 299-7758

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	40
AUM (Assets Under Management)	$ 27,340,460

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.

Similar Advisors

Ashkahn Moayedi

WELLS FARGO CLEARING SERVICES, LLC

IAR

DANVILLE, CA

Ronald Guay

FALCON WEALTH PLANNING, INC.

IAR

San Jose, CA

Adam Green

J.P. MORGAN SECURITIES LLC

IAR

SAN MATEO, CA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Zhaohui N. Li

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Zhaohui Nmn Li's CRS (Customer Relationship Summary).

Certified licenses

Experience

ACELA CAPITAL MANAGEMENT, LLC

FINANCIAL TELESIS INC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/29/2004

Series 31

Date: 7/10/2004

Series 7

Date: 3/5/2004

Current Firm

ACELA CAPITAL MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ACELA CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors