{ "crd_number": 168953, "slug": "shuyi-kong-wealth-management-inc-millbrae-ca-168953", "primary_business_name": "SHUYI KONG WEALTH MANAGEMENT, INC.", "legal_name": "SHUYI KONG WEALTH MANAGEMENT, INC.", "dbas": [], "city": "Millbrae", "state": "CA", "country": "United States", "cbsa_code": "41860", "metro": { "cbsa_code": "41860", "common_name": "San Francisco", "msa_name": "San Francisco-Oakland-Fremont, CA", "path": "/advisors/ca/san-francisco" }, "registration_type": "state", "registration_status": "APPROVED", "registration_date": "2013-10-29", "years_registered": 12, "period": "2026-10-01", "filing_date": "2026-03-19", "carried_forward": false, "raum_total": 47324139.0, "raum_discretionary": 0.0, "raum_non_discretionary": 47324139.0, "raum_band": "25m_100m", "raum_band_label": "$25 million to $100 million", "total_employees": 1, "advisory_employees": 1, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "other": { "raum": 0.0, "count": 0 }, "charitable": { "raum": 0.0, "count": 0 }, "individuals": { "raum": 36687541.0, "count": 150 }, "banking_thrift": { "raum": 0.0, "count": 0 }, "state_municipal": { "raum": 0.0, "count": 0 }, "insurance_companies": { "raum": 0.0, "count": 0 }, "investment_companies": { "raum": 0.0, "count": 0 }, "pension_profit_sharing": { "raum": 0.0, "count": 0 }, "other_investment_advisers": { "raum": 0.0, "count": 0 }, "high_net_worth_individuals": { "raum": 10636598.0, "count": 3, "fewer_than_5": true }, "pooled_investment_vehicles": { "raum": 0.0, "count": 0 }, "corporations_other_businesses": { "raum": 0.0, "count": 0 }, "business_development_companies": { "raum": 0.0, "count": 0 }, "sovereign_wealth_foreign_official": { "raum": 0.0, "count": 0 } }, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "portfolio_management_individuals" ], "wrap_fee_participant": false, "disclosure_yes_count": 1, "states_registered": [ "CA" ], "websites": [], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/168953", "disclosure_items": [ { "item": "11.D(3)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?" } ], "city_as_filed": "MILLBRAE", "url": "https://advisorcensus.com/firm/shuyi-kong-wealth-management-inc-millbrae-ca-168953", "display_name": "Shuyi Kong Wealth Management, Inc.", "summary": "Shuyi Kong Wealth Management, Inc. is a state-registered investment advisory firm in Millbrae, CA, registered since 2013, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 19, 2026.", "citation": "AdvisorCensus. Shuyi Kong Wealth Management, Inc. (CRD 168953): Form ADV filing data as of October 2026.", "registration_type_label": "State-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management" ], "advisory_activity_labels": [ "Portfolio management for individuals and/or small businesses" ], "quick_answers": [ { "q": "How is Shuyi Kong Wealth Management, Inc. compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Shuyi Kong Wealth Management, Inc. reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Shuyi Kong Wealth Management, Inc. located?", "a": "Shuyi Kong Wealth Management, Inc.'s principal office is in Millbrae, CA, according to its Form ADV." }, { "q": "Is Shuyi Kong Wealth Management, Inc. registered with the SEC or a state?", "a": "Shuyi Kong Wealth Management, Inc. is a state-registered investment advisory firm, registered since 2013. Status as filed: APPROVED. CRD 168953." }, { "q": "How much does Shuyi Kong Wealth Management, Inc. manage?", "a": "Shuyi Kong Wealth Management, Inc. reports $47,324,139 in regulatory assets under management in its Form ADV filing dated March 19, 2026 (0% discretionary)." }, { "q": "What types of clients does Shuyi Kong Wealth Management, Inc. serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (150); high net worth individuals (3)." }, { "q": "Does Shuyi Kong Wealth Management, Inc. report any disciplinary disclosures?", "a": "Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.D(3) (another regulator's finding of causing a business's authorization to be denied, suspended, revoked, or restricted). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/168953" } ], "filing_history": [], "recent_changes": [], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/shuyi-kong-wealth-management-inc-millbrae-ca-168953.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 150, "fewer_than_5": false, "raum": 36687541.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 3, "fewer_than_5": true, "raum": 10636598.0 }, { "type": "banking_thrift", "label": "Banking or thrift institutions", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "investment_companies", "label": "Investment companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "business_development_companies", "label": "Business development companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "charitable", "label": "Charitable organizations", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "state_municipal", "label": "State or municipal government entities (including government pension plans)", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "other_investment_advisers", "label": "Other investment advisers", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "insurance_companies", "label": "Insurance companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "sovereign_wealth_foreign_official", "label": "Sovereign wealth funds and foreign official institutions", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "other", "label": "Other", "count": 0, "fewer_than_5": false, "raum": 0.0 } ], "disclosure_line": "Reports 1 disclosure item on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/168953", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }