The Sean Yu Group

As leader of The Sean Yu Group, Sean Yu, CFP^®, CPWA^®, CAP^®, ensures that his team delivers an outstanding overall wealth management experience to its ultra-high net worth clients originally from the Greater China Region, which encompasses mainland China, Hong Kong & Taiwan. Our clientele ranges from those born in the USA and those that have been living in the US for a long time to recently immigrated and non-resident aliens, all of whom we are able to successfully service with our multi-cultural team.

Sean was named to Forbes America’s Top Wealth Advisors for 2016 to 2023 and #8 of Best-In-State Wealth Advisors in Los Angeles in 2023. He was ranked by On Wall Street in its Top 40 Financial Advisors Under 40 for four consecutive years— #7 in 2014, #6 in 2015, #4 in 2016, and #3 in 2017. Also, from 2016 through 2023, he was listed among Barron’s Top 100 Financial Advisors in California.

Sean received his Master of Arts in international relations from the University of Chicago in 2002, and he received an Honorary Doctorate Degree from California State Polytechnic University-Pomona in 2023. He holds Series 3, 7, 31, and 66 licenses from FINRA, Certified Financial Planner^® (CFP^®), Certified Private Wealth Advisor^® (CPWA^®), and Chartered Advisor in Philanthropy (CAP^®) certifications.

Sean leads in numerous philanthropic and social leadership activities. In 2012, he established the Sean Yu International Relations Fellowship at the University of Chicago to help underprivileged students at the university and has committed a total of $1.75 million to University of Chicago. In 2020, Sean established the Sean Yu Travel Fund at the University of Chicago for students and faculty to conduct research and study in Taiwan and China. In 2014, he created the Taiwanese American Scholarship Fund to alleviate college tuitions of underprivileged students of Taiwanese descent. He has committed $1 million personally and raised over $4 million in pledges to support around 100+ students. In 2015, he was awarded the Philanthropy Leadership Award by the Asian Pacific Community Fund for helping them create their donor-advised fund program and raise over $10 million in donations. In the same year, he co-founded the Los Angeles Chapter of The Chinese Finance Association with over 150 active members from various areas of the financial services industry.

For his professional achievements and community contributions, Sean was awarded the Asian Business Award from Los Angeles Business Journal for the public company category in 2014. He was also listed among Los Angeles Business Journal’s 40 In Their 40's in Accounting & Financial Services Professionals in 2020. He currently serves on the Advisory Council of the Division of the Social Sciences at the University of Chicago. Additionally, he currently sits on the Investment Committee of the board of directors at Cal Poly Pomona University Philanthropic Foundation, having formerly chaired the Investment Committee for 3 years, and chaired the Audit Committee for a year.

In his spare time, Sean enjoys playing tennis and basketball. He has been to more than 100 Michelin starred restaurants, and his favorite restaurants include Providence in Los Angeles, Joel Robuchon in Las Vegas, Raw in Taipei, Bo Innovation in Hong Kong, Xin Rong Ji (新榮記) in Beijing, and Kikunoi Honten in Kyoto.

Sean is fluent in English, Mandarin Chinese, and Taiwanese.

Davin Chen, CFP^®, is a partner of The Sean Yu Group. As a Private Wealth Advisor and Morgan Stanley designated Family Wealth Director, Davin’s primary objective is to help high-net-worth clients successfully navigate multi-generational wealth planning and investing in the U.S. He works closely with clients in identifying their goals and creating comprehensive financial plans. Some of those strategies encompass retirement planning, estate planning, philanthropic planning, small business corporate retirement plan solutions and tax planning. He also provides analysis and advice on concentrated positions, incentive stock options (ISOs), and non-qualified stock options (NSOs).

Additionally, Davin works closely with Sean Yu and leverages Morgan Stanley resources to customize Equity, Fixed Income and Private Equity portfolios tailored for both U.S. domestic and non-US resident clients, when appropriate. By providing a patient and educational approach, Davin works with clients in determining risk level, proper asset allocation and structure. Davin closely monitors and adjusts portfolios to help ensure investment strategies keep pace with changes in clients’ lives.

Davin also helps non-US resident clients with the complexities of cross-border planning and investing. He is a International Client Advisor, a selected few at Morgan Stanley who are allowed to open non-US resident accounts and address the wealth-planning needs of non-US resident clients. He works with non-US resident clients seeking global diversification, U.S. preimmigration planning, and those who wish to plan for the transfer of wealth to their US heirs. Davin has extensive experience in opening, investing, and working with foreign accounts, ranging from individuals to complex structures, such as offshore holding companies, irrevocable trusts, and foreign trusts.

Davin has been consecutively named on Forbes Top Next-Gen Wealth Advisors Best-In-State List for Southern California, with the most recent ranking of #32 for 2023.

Davin has been working in the finance industry since 2008 and joined Morgan Stanley in 2013. He is an advisory board member of Pacific Academy, a private preparatory school. Prior to joining Morgan Stanley, Davin worked at BancWest Investment Services and Smith Barney for several years. He graduated from the University of California, San Diego, and holds B.A. degrees in Economics and Psychology. He is a Certified Financial Planner^® ( CFP^® ) and holds Series 7 and 66 licenses from FINRA. In Davin’s free time, he likes to travel, golf, play tennis, and explore new dining experiences, having dined at 53 Michelin-starred restaurants around the world.
 
Davin speaks English, Mandarin Chinese, and Taiwanese.

Kevin Yu is a partner of The Sean Yu Group. He is designated as a Family Wealth Director by Morgan Stanley due to his knowledge and experience working with high-net-worth clients and dealing with multi-generational planning issues. Kevin is also designated as an International Client Advisor, a selected few by Morgan Stanley who are allowed to open non-US accounts and provide cross-border planning solutions to non-US resident clients (NRC).

Kevin primarily works with clients with Chinese and Taiwanese backgrounds (both US domiciled and NRC). Kevin works with Sean & the team to cultivate a deeper understanding of each client’s unique set of goals. From there, Kevin helps execute the financial planning, providing strategies on retirement planning, estate planning, risk management, philanthropy planning, wealth transfer and tax planning. After conducting thorough analysis and risk assessment, Kevin determines an optimal portfolio asset allocation for each client. He collaborates with Sean Yu in creating, managing, and monitoring customized investment strategies. Utilizing Morgan Stanley’s wide range of investment product offerings, Kevin is able to customize strategies for clients. Kevin provides ongoing communication and periodic reviews to ensure the client’s financial plan and investment strategies adapt to life changes. Furthermore, Kevin directly works with the team’s investment analysts and Morgan Stanley’s trading desk in the execution of the client’s portfolio. Through his process and concierge service, he is able to develop and maintain strong client relationships.

Kevin can open both US domiciled and non-US resident accounts. He works with both US domestic and foreign individuals, corporations, personal holding companies and trusts (revocable and irrevocable).

Kevin attended the University of California, Los Angeles, and studied Psychology. He has been working in the finance industry with Morgan Stanley since 2006. He holds Series 7, 31, 63, and 66 licenses from FINRA. Kevin is passionate about his local community. He is a board member of the Asian Pacific CPA Association, created by experienced CPAs and Non-CPA Allied Professionals from various Asian American communities to collaborate on professional matters and build lifetime friendships. Kevin is an active member of the City of Industry Royal Lions Club and has served as the President and a board member in previous years. He is also a pet lover and a proud supporter for his local humane societies. On his spare time, Kevin enjoys playing basketball and playing with his three cats.

Kevin speaks English, Mandarin Chinese, and Taiwanese.

Patty is a Senior Relationship Manager for ultra high net worth (UHNW) clients. Working alongside Sean Yu, Patty communicates effectively with clients, and assists Sean Yu with the implementation, execution, and monitoring of clients’ financial plans.

With 14 years of experience, Patty leads the onboarding process of complex accounts, such as foreign individuals, offshore corporations, personal holding companies, foreign grantor trusts and irrevocable trust accounts established by a foreign person. She also has vast experience in opening domestic accounts, such as trusts, foundations, 401K plans, and retirement accounts.

Additionally, Patty facilitates strategic partnerships with other teams and helps with opening both domestic and international accounts for these clients. She is also highly experienced in restricted and controlled stock positions that require trading through Rule 144 and 10b5-1. She helps with the sale of restricted, control, and large concentrated positions, and the transfer of shares/certificates. Additionally, she helps with 10b-1 planning by offering strategies for concentrated liquidity events, and is currently working on the 10b5-1 plan for a $12bn Technology company.

Patty joined Morgan Stanley in 2009 and holds Series 7 and 66 licenses from FINRA. She graduated from the University of California, Los Angeles, and holds a B.A. degree in Psychology. She is a board member of the Taiwanese American Scholarship Fund, which supports financially challenged students of Taiwanese descent residing in the U.S. In her free time, Patty likes to play basketball and golf. She also enjoys exploring new restaurants and wine tasting.

Patty speaks English, Mandarin Chinese, and conversational Cantonese.

Jenny Lee is a Relationship Manager on the team who is responsible for maintaining relationships with the team’s first-generation Taiwanese clients and Taiwanese non-resident clients.
 
Jenny assists Sean Yu with the execution, implementation, and monitoring of long-term, often multigenerational financial plans for clients based on a deep understanding regarding their needs, goals and preferences. Additionally, she takes care of all service-related questions for her clients, such as wires, transfers, internal journals, updating account information and helping clients log into Morgan Stanley Online (MSO).

Jenny has been working in the financial services industry since 2003, and joined Morgan Stanley in 2013. She is a Certified Retirement Planning Counselor (CRPC^®), and holds Series 3, 4, 6, 7, 24, 53, and 66 licenses from FINRA. Prior to her career at Morgan Stanley, she worked at Merrill Lynch for six years and Chase Investment Services for two years. She used to serve as a Vice President of the Asian Pacific Certified Public Accountants Association.
 
Jenny graduated from Oklahoma City University with a B.A. degree in Business Management. She also holds an MBA from the University of Dallas. In her leisure time, Jenny likes to travel and play golf. She is also passionate about fine dining and wine tasting.

Jenny speaks English, Mandarin Chinese, and Taiwanese.

Julie Liu functions as both a Relationship Manager and Client Service Associate. She primarily works with the team’s U.S. domestic clients. Julie assists Sean Yu with implementing, executing, and monitoring the client’s financial plan. She also helps with the resolution of client inquiries and a broad range of service requests, such as wires, check issuance, transfers, internal journals and more. She establishes and cultivates trusting relationships with new and existing clients by participating in client meetings alongside Sean Yu. Moreover, she enhances the client experience by emphasizing value, service, and attention to detail.

Besides her client focus, she is also responsible for organizing client seminars.

Julie has been working in the wealth management industry since 2007, and joined Morgan Stanley in 2014. She is a Certified Retirement Planning Counselor (CRPC^®), Certified Fund Specialist (CFS^®), and holds Series 7 and 66 licenses from FINRA. Prior to joining Morgan Stanley, she gained 7 years of industry experience working for UBS and LPL Financial.

During Julie’s free time, she enjoys taking group exercise classes for running and loves to explore new hiking trails, completing more than 50 trails to date. She is a PADI Certified Open Water Diver.
Julie speaks English and Mandarin Chinese.

Gloria Chen functions as both a Relationship Manager and Client Service Associate. Gloria is responsible for maintaining relationships and provides direct operational support to Davin Chen and Kevin Yu. She helps with the client onboarding process, client service requests, wires, transfers, internal journals, updating account information and more. Gloria has expertise in opening domestic and foreign accounts such as individual, retirement plans, offshore corporations, private holding companies and domestic and foreign trusts. She communicates with clients and assists Davin and Kevin with implementation and monitoring of clients’ financial plans. Additionally, Gloria works with employers of corporate retirement plans, assisting them with enrollment meetings and plan servicing.

Gloria has been working in the finance industry since 2010, and joined Morgan Stanley in 2019. Prior to joining Morgan Stanley, Gloria worked in commercial banking, mainly serving international clients with account opening, administrative functions, Bank Secrecy Act (BSA) reviews, and audit preparation. She holds Series 7 and Series 66 licenses from FINRA.

Gloria graduated from California State Polytechnic University with a major in Hospitality Management. Outside of work, she enjoys exercising, crafting, and cooking.

She speaks Mandarin Chinese, English, and conversational Cantonese.

Jennifer is a Relationship Manager on the team who is responsible for maintaining relationships with the team’s ultra high net worth (UHNW) clients with Mainland China and Taiwan backgrounds (U.S. passport holders, Green Card holders, and non-US resident). Jennifer communicates effectively with clients and assists Sean Yu with the implementation, execution, and monitoring of clients’ financial plans. Additionally, she takes care of all service-related questions for her clients, such as wires, transfers, internal journals, updating account information and helping clients log into Morgan Stanley Online (MSO).

Jennifer helps with opening domestic and foreign accounts such as individuals, corporations, retirement plans, personal holding companies, foreign grantor trusts, and irrevocable trust accounts established by foreign persons. Furthermore, she interprets Chinese documents and conducts research and analysis on non-resident client backgrounds to facilitate the account opening process.

Jennifer graduated from the University of California, Berkeley with a B.A. degree in Economics in 2019. She is a Certified Retirement Planning Counselor (CRPC^®), and holds her Series 7 and 66 licenses from FINRA.

Jennifer was born in the U.S. and attended high school in Taiwan. Outside of work, music has a substantial influence on her life as she spent 10 years as the principal saxophonist and student conductor in her school's orchestra. In addition, she enjoys playing the piano and guitar in her spare time.

Jennifer is fluent in English, Mandarin Chinese, and Taiwanese.

Jen Wu, CFP^®, is responsible for coordinating all trading instructions on the team. She works closely with Brendan Chen and Maggie Wang in the proper execution of the team’s Equity, Fixed Income, and Private Equity strategies. In addition, Jen serves as the team’s liaison for Morgan Stanley’s Equity and Fixed Income trading desk and external/internal private equity funds. She also collaborates with Morgan Stanley Global Capital Markets for the team’s equity syndicate deals (IPOs and secondary offerings). Jen is responsible for preparing customized performance reports for clients, which involves computing account performance, analyzing investment portfolio holdings, and utilizing Aladdin to monitor portfolio risk. Additionally, she is responsible for preparing Goal Planning System (GPS) and Wealth Strategy Analysis reports for each client, which are utilized to tailor client specific investment strategies.

Jen received her B.A. degree in Accounting in 2012 and an MBA in Finance in 2013, both from Indiana University. She holds Certified Public Accountant license (currently not practicing). Jen holds Series 7 and 66 licenses from FINRA, and Certified Financial Planner^® certification (CFP^®). Prior to joining Morgan Stanley in 2019, Jen worked at PricewaterhouseCoopers and has five years of industry-related experience.

In her free time, Jen enjoys playing golf, equestrian sports (dressage and showjumping), and playing the piano. She enjoys wine and has obtained the WSET Level 1 Award in Wines. Jen is also passionate about gemology and holds a Graduate Diamonds Diploma from the GIA Institute.

Jen speaks English and Mandarin Chinese.

Maggie Wang, CFS^®, assists the team by providing investment and trading support. She helps Jen Wu in executing trades for clients across Equities, Fixed Income, and Mutual Funds, and assists the team by conducting client and investment research. She prepares various reports, such as investment portfolio holdings analysis and portfolio lending (Liquidity Access Line) report. Additionally, she monitors portfolio risk for the team’s trading strategies, and updates the Equity Syndicate cash sheet.

Maggie graduated from University of California, Irvine in 2019 with a B.A. in Business Economics and minor in Management in 2019. Prior joining Morgan Stanley in 2023, Maggie worked at UBS for 2 years. Maggie holds Series 7 and Series 66 license from FINRA, and Certified Fund Specialist^® (CFS^®) .

Maggie was born and raised in mainland China. She was educated in mainland China until middle school before attending high school in the U.S. During her leisure time, Maggie enjoys traveling, watching movies, playing badminton, baking, and spending time with her friends and family.

Maggie is fluent in English, Mandarin Chinese, and Cantonese.

Roger Li, CFP^®, assists the team by providing investment and trading support. He helps Jen Wu in executing trades for clients across Equities, Fixed Income, and Mutual Funds and assists conducting client and investment research. He also assists with Private Equity by monitoring K1 tax documents, transfers, subscription documents, capital calls and private equity valuation documents. He prepares various reports, such as investment portfolio holdings analysis, and updates the Private Equity cash sheet.

Roger Li graduated from University of California, Santa Barbara with a B.S. in Statistics and Data Science in 2019. Prior to joining Morgan Stanley in 2024, he worked at First Republic and JP Morgan Chase for 3 years, mainly on new accounts and alternative investment operations. He currently holds Series 7, 24, 63, and 65 licenses from FINRA, and Certified Financial Planner^® certification (CFP^®). Roger also passed CFA Level 1.

Roger was born in Shanghai, China, and attended high school in California. In his leisure time, Roger enjoys playing tennis, cooking, photography, karaoke, history, and hiking. In 2023, Roger completed a 14-miles hike with 3800 ft of elevation gained.

Roger is fluent in English, Mandarin Chinese, Shanghainese, and conversational Cantonese.

Cindy Zhou, CFA^®, primarily works with the team's Chinese clients. She assists the team with implementing, executing, and monitoring the client's financial plan. Her responsibilities encompass assisting clients in account opening and maintenance, managing profile information, and processing account paperwork, all while consistently surpassing daily duties to ensure client satisfaction.

Cindy holds Series 7 and 66 licenses from FINRA and Chartered Financial Analyst (CFA) designation, actively contributing as a member of the CFA LA Society. She earned her M.S. in Financial Engineering from the University of Southern California in 2014 and B.S in Insurance from Nankai University in 2012. Prior to her tenure at Morgan Stanley, Cindy accumulated 7 years of experience in financial analysis, planning, and advisory roles with East West Bank and Intercontinental Exchange.

Beyond her professional endeavors, Cindy finds fulfillment in spending quality time with her family, exploring National Parks, and capturing picturesque moments through photography. She is a PADI Certified Open Water Diver.

Cindy is fluent in English and Mandarin Chinese.

Brian Hioe, CFP^®, provides direct operational support to Jenny Lee, Patty Chao, Davin Chen and Kevin Yu. His primary focus is to support the team with account opening and maintenance, transferring money between client accounts, submitting documents, processing wires, and researching and processing client inquiries and requests. Additionally, he monitors, reviews, and responds to account alerts, incoming funds, and transfers.

Brian worked in the wealth management industry since 2004, and joined Morgan Stanley in 2021. Prior to joining Morgan Stanley, Brian worked for LPL Financial and Western International Securities Inc. He graduated from the University of California, San Diego, with a B.S. degree in Management Science / Economics. Brian holds his Series 7 and 66 licenses, and Certified Financial Planner^® certification (CFP^®).

Brian enjoys spending time with friends, watching movies, and playing tennis and football. Brian practices Shaolin Kung Fu and won second place in the broad sword event and third place in the bare fist event at the 2000 Shaolin Kung Fu competition.

Brian is fluent in English and Mandarin Chinese.

Karen Manuharan assists the team by providing operational and administrative support. Her primary focus is to support the team with account opening, wires, transfers, document processing, and other client service requests. She also helps with candidate screening, interviews and the onboarding process for interns and full-time hire. She also assists the team with coordinating client seminars and client appreciation events.

Karen received her B.S. degree in Actuarial Science from University of Nebraska-Lincoln in 2015 and MBA from International American University in 2017. Karen holds her FINRA Series 7 and 66 licenses.

Prior to joining Morgan Stanley in 2023, Karen worked in the financial industry since 2015, including UBS Financial Services for 4 years. In her leisure time, Karen enjoys spending time with family and friends, travelling, exploring new restaurants, water sports, and skiing.

Karen is fluent in English, Mandarin, Cantonese, and Malay.

Yuki Zhang provides operational and administrative support to the team, focusing on both domestic and international account opening and maintenance. She manages tasks such as funds transfers, updating information, and processing client inquiries and requests. Additionally, Yuki translates Chinese documents and conducts research and analysis to enhance the account opening process.

Yuki graduated from University of Massachusetts, Amherst with a Bachelor of Science in Resource Economic and a minor in Psychology & Brain science in 2018 . She then completed her Master of Science in Real Estate and Infrastructure with a concentration in finance from Johns Hopkins University in 2020. Yuki holds Series 7 licenses from FINRA. Prior to joining Morgan Stanley in 2024, Yuki worked in the real estate industry.

Yuki was born in Hangzhou, China, and attended high school in Cambridge, Massachusetts. In her leisure time, Yuki likes attending open houses, nurturing her passion for interior design and home improvement. She also finds relaxation and enjoyment in playing lacrosse, golf, practicing yoga, ice skating and hiking.

Yuki is fluent in English and Mandarin Chinese.