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David Hou

Managing Partner at Mai Capital Management

Investment adviser registrationLos Angeles, CASEC record checked 17 October 2026

33
Years in the industry
0
Years at the firm
6
Adviser firms
2
State registrations

IAPD record retrieved 17 October 2026SEC record

David Hou is Managing Partner of Mai Capital Management, LLC, a Cleveland investment adviser managing $52.1B. David Hou has been registered through Mai Capital Management since 12 November 2025, has 33 years in the industry across 6 firms and has passed 7 licensing exams.

Role at Mai Capital Management

Title on Schedule A
Managing Partner
Control
David Hou is a control person of Mai Capital Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
David Hou has held the filed role since November 2025.

The firm

Mai Capital Management, LLC
Cleveland, OH

Form ADV filed 1 October 2026

$52.1B AUM16,261 clients230 advisers44 offices

Career on record

David Hou has been registered through Mai Capital Management since November 2025, and before that through Inbalance Advisors, LLC, First Republic Investment Management, Inc., Luminous Capital, LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated.

Firms and exams, newest first
  1. Mai Capital Management, LLCCurrent
    – present · 1 year
    Los Angeles, CA · Adviser representative · Firm CRD 109807
  2. Inbalance Advisors, LLC
    – · 1 year
    Los Angeles, CA · Adviser representative · Firm CRD 321698
  3. Evoke Advisors
    – · 7 years
    Los Angeles, CA · Adviser representative · Firm CRD 300856
  4. Passed SIE · 2018
  5. Passed Series 22, Series 63 and Series 3 · 2013
  6. First Republic Investment Management, Inc.
    – · 6 years
    Los Angeles, CA · Adviser representative · Firm CRD 108559
  7. Luminous Capital, LLC
    – · 5 years
    Los Angeles, CA · Adviser representative · Firm CRD 145566
  8. Passed Series 31 · 1999
  9. Passed Series 65 · 1997
  10. Merrill Lynch, Pierce, Fenner & Smith Incorporated
    – · 11 years
    Los Angeles, CA · Adviser representative · Firm CRD 7691
  11. Passed Series 7 · 1992

Registrations and exams

David Hou has a current investment-adviser registration in California and Texas and has passed 7 qualifying exams.

California12 November 2025
Scope
Investment adviser representative
Status
Approved
Texas12 November 2025
Scope
Investment adviser representative
Status
Approved

Examinations

Series 6327 March 2013
Name
Uniform Securities Agent State Law Examination
Series 6516 June 1997
Name
Uniform Investment Adviser Law Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 321 June 2013
Name
National Commodity Futures Examination
Series 2212 March 2013
Name
Direct Participation Programs Representative Examination
Series 3121 September 1999
Name
Futures Managed Funds Examination
Series 719 October 1992
Name
General Securities Representative Examination

Individual record

Full name
David Chih Hou
CRD
1987951
Firm
Mai Capital Management, LLC
Registration status
Investment adviser registration
Office
2121 Avenue of the Stars, Los Angeles, CA 90067
Firm bio
mai.capital

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

MAI identifies David Hou as a cofounder of Evoke Advisors and describes his prior roles at First Republic, Luminous Capital, Goldman Sachs and Merrill Lynch. Official MAI Capital Management biography

Education

Common questions

Where does David Hou work?

David Hou has been Managing Partner of Mai Capital Management, LLC since November 2025, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 1 October 2026

Is David Hou a financial advisor?

Yes. David Hou has a current investment-adviser registration in California and Texas, through Mai Capital Management since November 2025, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

How many years of experience does David Hou have?

David Hou has worked in the financial industry for 33 years as of 17 October 2026, counted from 20 October 1992, across 6 adviser firms.

Source: IAPD individual record, checked 17 October 2026

What exams has David Hou passed?

David Hou has passed 7 licensing exams: the Series 7, Series 65, Series 31, Series 22, Series 63, Series 3 and SIE. The earliest, the Series 7, was passed in October 1992.

Source: IAPD individual record, checked 17 October 2026

Where did David Hou work before Mai Capital Management?

Before Mai Capital Management, David Hou was registered through Inbalance Advisors, LLC, June 2022 to August 2023; First Republic Investment Management, Inc., January 2013 to June 2019; Luminous Capital, LLC, May 2008 to February 2013; Merrill Lynch, Pierce, Fenner & Smith Incorporated, April 1997 to May 2008.

Source: IAPD individual record, checked 17 October 2026

Where is David Hou based?

David Hou’s registered office is in Los Angeles, CA.

Source: IAPD individual record, checked 17 October 2026

Leadership at Mai Capital Management

Sources

  1. IAPD individual record, CRD 1987951. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Mai Capital Management, LLC, filed 1 October 2026. Title, control and ownership bands.
  3. Mai Capital Management team page. Biography, education, credentials, awards.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with David Hou or Mai Capital Management, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.