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DW

Di Wu

Some features on this profile are disabled
CRD#: 5204739
DW

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Di Wu was a registered financial professional .

Di is a previously registered financial professional and started their career in finance in 2009. Di had worked at 2 firms and has passed the Series 65 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 29, 2025 - February 19, 2026

COVIAN CAPITAL GROUP LLC

RIA
CRD#: 335208
LA JOLLA, CA
Past

August 25, 2009 - August 10, 2010

LAZARD FRERES & CO. LLC

BD
CRD#: 2528
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 8/15/2025
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/24/2009
General Securities Representative Examination

Current Firm

CC
COVIAN CAPITAL GROUP LLC
COVE CAPITAL GROUP LLC | COVIAN CAPITAL GROUP LLC

CRD#: 335208 / SEC#: 802-135503

California
Registered Investment Advisory firm - (2/19/2026 Terminated)
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Contact information

Main Address
888 Prospect Street, Suite 200, La Jolla, CA 92037
Mailing Address
Phone number
(858) 342-5388
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
SEC / JURISDICTIONREPORTING STATUSEFFECTIVE DATE
SECERA - Active2/5/2026
CaliforniaERA - Withdrawn5/27/2025

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.

Company Information

COVIAN CAPITAL GROUP LLC

CRD#: 335208

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