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Simon Lim

Chief Compliance Officer at Alan D Biller & Associates

No current adviser or broker registrationSEC record checked 17 October 2026

1
Past adviser firms
2
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Simon Lim is Chief Compliance Officer of Alan D Biller & Associates, Inc., a Menlo Park investment adviser managing $65.1B. Simon Lim has past investment-adviser registrations through 1 firm and has passed the Series 6 and Series 63.

Role at Alan D Biller & Associates

Title on Schedule A
Chief Compliance Officer
Control
Simon Lim is a control person of Alan D Biller & Associates.
Ownership
An individual ownership band is not available in the source record.
Tenure
Simon Lim has held the filed role since March 2018.

The firm

Alan D Biller & Associates, Inc.
Menlo Park, CA

Form ADV filed 26 January 2026

$65.1B AUM51 clients24 advisers1 offices

Career on record

Firms and exams, newest first
  1. Alan Biller And Associates
    – · 14 years
    Menlo Park, CA · Adviser representative · Firm CRD 105283
  2. Passed Series 6 and Series 63 · 1995

Registrations and exams

No current adviser or broker registration. Simon Lim has passed 2 qualifying exams.

Examinations

Series 638 September 1995
Name
Uniform Securities Agent State Law Examination
Series 61 September 1995
Name
Investment Company Products/Variable Contracts Representative Examination

Individual record

Full name
Simon Paul Lim
CRD
2655255
Firm
Alan D Biller & Associates, Inc.
Registration status
No current adviser or broker registration
Firm bio
alanbiller.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

Credentials and memberships

Common questions

Where does Simon Lim work?

Simon Lim has been Chief Compliance Officer of Alan D Biller & Associates, Inc. since March 2018, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 26 January 2026

Does Simon Lim have a current investment-adviser registration?

Simon Lim has no current investment-adviser or broker registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Simon Lim passed?

Simon Lim has passed 2 licensing exams: the Series 6 and Series 63. The earliest, the Series 6, was passed in September 1995.

Source: IAPD individual record, checked 17 October 2026

Where was Simon Lim previously registered as an investment adviser?

Simon Lim has past investment-adviser registrations through Alan Biller And Associates, April 2010 to December 2023, across 1 firm.

Source: IAPD individual record, checked 17 October 2026

Is Simon Lim a CFA charterholder?

Alan D Biller & Associates lists Simon Lim with the CFA credential (“CFA”) on its website. CFA Institute confirms certification status.

Source: Official firm leadership page

Leadership at Alan D Biller & Associates

Sources

  1. IAPD individual record, CRD 2655255. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Alan D Biller & Associates, Inc., filed 26 January 2026. Title, control and ownership bands.
  3. Alan D Biller & Associates team page. Biography, education, credentials, awards and portrait.

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 Simon Lim or Alan D Biller & Associates, Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.

The portrait is reproduced from the firm’s website for identification.