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Joseph Randall Lum

Mai Capital Management, LLC

San Ramon, CA

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Current Employers
Mai Capital Management, Llc

6050 Oak Tree Blvd Suite 500, Cleveland, OH 44131 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-04-13
CA RA APPROVED 2022-09-02
  • TX RA
    APPROVED
    Since 2026-04-13
  • CA RA
    APPROVED
    Since 2022-09-02

Branch Locations

6111 Bollinger Canyon Road Suite 300, San Ramon, CA 94583 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Financial Horizons-Wealth Building Strategies Llc San Ramon CA 06/2014 07/2022
Mai Capital Management, Llc San Ramon CA 07/2022 03/2025
Mai Capital Management Llc San Ramon CA 03/2025 Present
Previous Registrations
  • 2014-06-03 → 2022-08-05
    Intersect Capital Llc
    San Ramon, CA
  • 2014-05-23 → 2014-06-02
    True Capital Management
    San Francisco, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-05-22
  • S65 Uniform Investment Adviser Law Examination
    2014-05-22
Designations
Other Names
  • Joseph Lum
  • Joe Lum

View on SEC IAPD

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