Alfred H. Au

DIVERSIFI CAPITAL LLC

Los Altos, CA 94022

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CRD#: 6213875

Professional summary

Alfred Ho Fai Au, CFP®, who also goes by Alfred Au, is a registered financial advisor currently at DIVERSIFI CAPITAL LLC located in Los Altos, California.

Alfred is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Alfred has worked at 3 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alfred Au

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.

1) DRAGON GLOBAL SERVICES; HOLDING COMPANY WHICH WHOLLY OWNS DRAGON FINANCIAL GROUP AND 50% OF DFG TAX AND ACCOUNTING SERVICES; MEMBER, START DATE: 11/2015;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alfred Ho Fai Au'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

June 22, 2018 - Present

DIVERSIFI CAPITAL LLC

Office #1: 4546 El Camino Real B10 #1013, Los Altos, CA 94022

RIA

CRD#: 242788

Los Altos, CA

Past

January 4, 2016 - July 2, 2018

DRAGON FINANCIAL GROUP

RIA

CRD#: 282113

SAN MATEO, CA

Past

February 14, 2014 - May 13, 2016

DRAGON FINANCIAL GROUP

RIA

CRD#: 157936

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".

DIVERSIFI CAPITAL LLC

COMPASS CAPITAL MANAGEMENT GROUP LLC | DIVERSIFI CAPITAL LLC

CRD#: 242788 / SEC#: 801-121391

RIA

Registered Investment Advisory firm - (6/3/2021 Approved)

California

Registered Investment Advisory firm - (7/22/2021 Terminated)

District of Columbia

Registered Investment Advisory firm - (6/22/2021 Terminated)

Texas

Registered Investment Advisory firm - (6/22/2021 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
(6/22/2018)

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: 2/14/2014

Uniform Investment Adviser Law Examination

Current Firm

DIVERSIFI CAPITAL LLC

COMPASS CAPITAL MANAGEMENT GROUP LLC | DIVERSIFI CAPITAL LLC

CRD#: 242788 / SEC#: 801-121391

RIA

Registered Investment Advisory firm - (6/3/2021 Approved)

California

Registered Investment Advisory firm - (7/22/2021 Terminated)

District of Columbia

Registered Investment Advisory firm - (6/22/2021 Terminated)

Texas

Registered Investment Advisory firm - (6/22/2021 Terminated)

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Contact information

Main Address

4546 El Camino Real B10 #1013, Los Altos, CA 94022

Mailing Address

Phone number

(650) 632-5667

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A- DIVERSIFI CAPITAL LLC (11/7/2025)

Regulatory assets under management

Total Number of Accounts	821
AUM (Assets Under Management)	$ 456,940,000

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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Alfred H. Au

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alfred Ho Fai Au's CRS (Customer Relationship Summary).

Certified licenses

Experience

DIVERSIFI CAPITAL LLC

DRAGON FINANCIAL GROUP

DRAGON FINANCIAL GROUP

Primary Firm SEC Registration

DIVERSIFI CAPITAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/14/2014

Current Firm

DIVERSIFI CAPITAL LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DIVERSIFI CAPITAL LLC

TRUST BUT VERIFY

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