Brian Yu: CCO at Wealthspire Retirement

Role at Wealthspire Retirement

Title on Schedule A: Chief Compliance Officer - Wealthspire Retirement
Title the firm uses: Chief Compliance Officer, Institutional
Control: Brian Yu is a control person of Wealthspire Retirement.
Ownership: An individual ownership band is not available in the source record.
Tenure: Brian Yu has held the filed role since October 2025.

The firm

Aliso Viejo, CA

Form ADV filed 31 March 2026

$38.6B AUM7,532 clients139 advisers23 offices

Career on record

The IAPD individual lookup on 17 October 2026 returned no individual record. This profile uses the firm’s Form ADV officer listing.

Registrations and exams

Individual registration and examination information for Brian Yu is unavailable. An officer title or CRD number does not by itself establish current investment adviser representative registration, and no registration or examination counts are inferred.

Officer record

Full name: Brian Yu
CRD: 5325544
Firm: Wealthspire Retirement, LLC
Record basis: Form ADV officer listing
Firm bio: wealthspire.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

Brian Yu oversees compliance for Wealthspire’s institutional business. He previously held compliance roles at Prudential Financial, Credit Suisse and ACA Group. Wealthspire, team biography

Common questions

Where does Brian Yu work?

Brian Yu has been Chief Compliance Officer - Wealthspire Retirement of Wealthspire Retirement, LLC since October 2025, and is a control person of the firm. On its own site, Wealthspire Retirement gives Brian Yu’s title as Chief Compliance Officer, Institutional.

Source: Form ADV, Schedule A, filed 31 March 2026; Wealthspire Retirement website