Alfred Au, financial advisor Los Altos CA

Alfred Au

CRD Number: 6213875
Current Firm: Diversifi Capital LLC

Alfred Au (CRD# 6213875) is an Investment Advisor Representative working at Compass Capital Management Group LLC in San Mateo, CA and has over 6 years of experience in the finance industry.

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Professional Designations
Company Name Location Dates Years
Diversifi Capital Llc (formerly Compass Capital Management) San Francisco, CA Jun 2018 - Current 5
Dragon Global Services, LLC San Mateo, CA May 2015 - Jun 2018 3
Dragon Financial And Investment Group, LLC San Mateo, CA Feb 2013 - Jun 2018 5
Exam Code Name Passed Date
S65 NASAA Investment Advisors Law Examination Feb 2014
Contact Info for Alfred H. Au
By the Numbers
  • Total Assets Under Management
    288
    MILLIONS
  • Total Number of Accounts
    698
    ACCOUNTS
  • Average Account Value
    $412,047
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Performance-based fees
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
Types of Clients
Registered States

CA, CO, DC, NH, NY, OR, TX, VA, WA

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