Li Chaoying

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2026-08-04
CA	RA	APPROVED	2026-07-16

Branch Locations

20563 Stevens Creek Blvd, Cupertino, CA 95014 • United States

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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	San Jose	CA	12/2025	Present
Citibank	Fremont	CA	08/2022	12/2025
At&T	Cupertino	CA	06/2016	11/2019
Jvtea Teatop	Newark	CA	12/2019	07/2022
Bank Of America, N.A.	San Jose	CA	02/2026	Present

12/2025 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

San Jose, CA
08/2022 → 12/2025

Citibank

Fremont, CA
06/2016 → 11/2019

At&T

Cupertino, CA
12/2019 → 07/2022

Jvtea Teatop

Newark, CA
02/2026 → Present

Bank Of America, N.A.

San Jose, CA

Code	Exam	Date
S66	Uniform Combined State Law Examination	2026-07-16

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