Shang Chou has been Managing Partner of Dishmi Capital since April 2025, is a control person of the firm and directly owns between 50% and 75% of it.
Dishmi Capital, LLC is a Pasadena, CA firm with $215M under management, 76 clients and 2 advisers across 2 offices, as of its March 2026 filing.
Shang Chou’s longest registration is the current one, 1 year at Caerus Investment Advisors, LLC since 2025.
- Dishmi Capital, LLCCurrent– present · 1 yearPasadena, CA · Adviser representative · Firm CRD 336392
- Caerus Investment Advisors, LLCAlso current– present · 1 yearSouth Pasadena, CA · Adviser representative · Firm CRD 171716
Investment adviser representative registrations
Shang Chou is registered as an investment adviser representative in 2 states. Each was approved in June 2025.
- CaliforniaSince 17 June 2025
- TexasSince 17 June 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 17 June 2025 |
| Series 3 | National Commodity Futures Examination | 22 August 2020 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 21 June 2018 |
| Series 7 | General Securities Representative Examination | 6 June 2018 |
| Series 66 | Uniform Combined State Law Examination | 1 October 2011 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- National Commodity Futures Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Combined State Law Examination
- CRD
- 5550638
- Firm
- Dishmi Capital · CRD 336392
- Role
- Managing Partner
- Office
- 251 SOUTH LAKE AVE, SUITE 800, Pasadena, CA 91101
- Registration
- Investment adviser registration
- In the industry since
- December 2018
- Disciplinary history
- Not yet shown here · SEC record
Where does Shang Chou work?
Shang Chou has been Managing Partner of Dishmi Capital, LLC since April 2025, and is a control person of the firm.
Is Shang Chou a financial advisor?
Yes. Shang Chou has a current investment-adviser registration in California and Texas, through Dishmi Capital since June 2025.
How many years of experience does Shang Chou have?
Shang Chou has 7 years in the financial industry, since December 2018, across 2 adviser firms.
What exams has Shang Chou passed?
Shang Chou has passed 5 licensing exams: the Series 66, Series 7, Series 63, Series 3 and Series 65. The earliest, the Series 66, was passed in October 2011. FINRA credited Shang Chou with the SIE, which began in October 2018.
Where is Shang Chou based?
Shang Chou’s registered office is in Pasadena, CA.
Is Shang Chou registered with FINRA?
No. Shang Chou has no current broker registration.
How can I verify Shang Chou’s record?
Search CRD 5550638 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Shang Chou’s full registration record.