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Chief Compliance Officer · Fiducient Advisors LLC

Brian J Yu

CRD 5325544 · Named on Form ADV at 6 SEC-registered advisers

At a glance

Fiducient Advisors LLC, an SEC-registered asset manager based in Chicago, IL with $97.5 billion in regulatory assets, lists Brian J Yu on its Form ADV as Chief Compliance Officer, a control person. The SEC filings also name Brian at 5 other registered advisers.

Firms and roles

  • Fiducient Advisors LLCChief Compliance OfficerAsset manager · Chicago, IL · $98B in regulatory assets
  • Wealthspire Retirement AdvisoryChief Compliance Officer - Wealthspire RetirementAsset manager · Aliso Viejo, CA · $39B in regulatory assets
  • Fiduciary FirstChief Compliance Officer - Wealthspire RetirementAsset manager · Maitland, FL · $2.5B in regulatory assets
  • Sellwood Investment Partners LLCComplianceAsset manager · Portland, OR · $2.3B in regulatory assets
  • Axia AdvisoryComplianceAsset manager · Indianapolis, IN · $1.9B in regulatory assets
  • SST Benefits ConsultingChief Compliance Officer - Wealthspire RetirementAsset manager · Aliso Viejo, CA · $524M in regulatory assets

AtlasMembers

Brian’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at each firm
6 firmsLocked
Control-person status
6 firmsLocked
When each role began
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Each firm’s assets and growth
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Search and export owners by title, state and firm size
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings (23)

18 more people named with Brian on the same filings, with titles and firms. Free in Atlas with a free account.

See all 23 free

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Brian’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.