Yu-chi Peng-lee

MAYFIELD ADVISORS

Palo Alto, CA 94306-1404

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CRD#: 5410591

Professional summary

Yu-chi Peng-lee, CFP®, who also goes by Yu-chi Peng, is a registered financial advisor currently at MAYFIELD ADVISORS, INC. located in Palo Alto, California.

Yu-chi is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Yu-chi has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Yu-Chi Peng

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 Yu-chi Peng-lee'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®

CFP^®

Certified Financial Planner

Experience

Current

October 15, 2007 - Present

MAYFIELD ADVISORS, INC.

Office #1: 438 Cambridge Avenue Suite 100, Palo Alto, CA 94306-1404

RIA

CRD#: 144072

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".

MAYFIELD ADVISORS, INC.

CRD#: 144072 / SEC#: 801-124782

RIA

Registered Investment Advisory firm - (4/29/2022 Approved)

California

Registered Investment Advisory firm - (4/21/2023 Terminated)

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).

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
(10/15/2007)

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: 9/1/2007

Uniform Investment Adviser Law Examination

Current Firm

MAYFIELD ADVISORS, INC.

CRD#: 144072 / SEC#: 801-124782

RIA

Registered Investment Advisory firm - (4/29/2022 Approved)

California

Registered Investment Advisory firm - (4/21/2023 Terminated)

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Contact information

Main Address

438 Cambridge Avenue Suite 100, Palo Alto, CA 94306-1404

Mailing Address

Phone number

(650) 856-6600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MAYFIELD ADVISORS, INC. FORM ADV PART 2A (3/19/2025)

Regulatory assets under management

Total Number of Accounts	117
AUM (Assets Under Management)	$ 126,973,081

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
04/30/2025	Cover Page	Report
02/06/2024	Cover Page	Report
02/02/2023	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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Yu-chi Peng-lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Yu-chi Peng-lee's CRS (Customer Relationship Summary).

Certified licenses

Experience

MAYFIELD ADVISORS, INC.

Primary Firm SEC Registration

MAYFIELD ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/1/2007

Current Firm

MAYFIELD ADVISORS, INC.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MAYFIELD ADVISORS, INC.

TRUST BUT VERIFY

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