Kevin Shihao Yu

Some features on this profile are disabled

CRD#: 6854236

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.

Kevin Shihao Yu, who also goes by Kevin Shihao Yu, was a registered financial professional .

Kevin Shihao is a previously registered financial professional and started their career in finance in 2020. Kevin Shihao had worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Aliases

Kevin Shihao Yu

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

November 11, 2020 - October 17, 2024

ARROWROOT FAMILY OFFICE, LLC

RIA

CRD#: 168744

MARINA DEL REY, 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".

ARROWROOT FAMILY OFFICE, LLC

ARROWROOT FAMILY OFFICE, LLC | VITREOUS PARTNERS, LLC

CRD#: 168744 / SEC#: 801-121878

RIA

Registered Investment Advisory firm - (7/23/2021 Approved)

California

Registered Investment Advisory firm - (9/29/2021 Terminated)

Virginia

Registered Investment Advisory firm - (8/31/2021 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 11/11/2020

Uniform Investment Adviser Law Examination

Current Firm

ARROWROOT FAMILY OFFICE, LLC

ARROWROOT FAMILY OFFICE, LLC | VITREOUS PARTNERS, LLC

CRD#: 168744 / SEC#: 801-121878

RIA

Registered Investment Advisory firm - (7/23/2021 Approved)

California

Registered Investment Advisory firm - (9/29/2021 Terminated)

Virginia

Registered Investment Advisory firm - (8/31/2021 Terminated)

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

4553 Glencoe Avenue Suite 201, Marina Del Rey, CA 90292

Mailing Address

Phone number

(310) 341-4774

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

ARROWROOT FORM ADV PART 2A (5/21/2025)

Regulatory assets under management

Total Number of Accounts	1,434
AUM (Assets Under Management)	$ 373,856,384

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

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kevin Shihao Yu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ARROWROOT FAMILY OFFICE, LLC

Primary Firm SEC Registration

ARROWROOT FAMILY OFFICE, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/11/2020

Current Firm

ARROWROOT FAMILY OFFICE, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARROWROOT FAMILY OFFICE, LLC

TRUST BUT VERIFY

Similar Advisors