Alfred Ho Fai Au
Investment Adviser Representative at Diversifi Capital Inc
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Alfred Ho Fai Au is an investment adviser representative with Diversifi Capital Inc in Los Altos, CA, where they have been registered since 2018. They have worked in the securities industry since 2014 and were previously registered with Dragon Financial Group. They have passed the Series 65 (investment adviser) exam. They are registered to provide investment advice in California.
Office
Advisors at this office: 7
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- California
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Dragon Financial and Investment Group, LLCFeb 2013 – Jun 2018San Mateo, CA
- DiversiFi Capital LLC (formerly Compass Capital Management)Jun 2018 – no end date reportedSan Francisco, CA
- Dragon Global Services, LLCMay 2015 – Jun 2018San Mateo, CA
Official records & sources
Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Diversifi Capital Inc
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Performance-based fees
- Firm account minimum
- $50,000 (waivable)
- $50,000 – $499,9991.20%
- $500,000 – $999,9991.00%
- $1,000,000 – $4,999,9990.80%
- $5,000,000 – $14,999,9990.60%
+2 more tiers on the firm profile
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Financial planning, wealth management (including direct indexing, tax-loss harvesting, and risk management for concentrated stock and equity-heavy portfolios), and covered call strategies designed to generate income from concentrated stock positions while working toward diversification.
Client types the firm serves
Firm assets under management
$500M–$1B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 7
- Offices listed on AdvisorFinder:
- 1
- Main office:
- Los Altos, CA
- SEC file number:
- 801-121391
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 17, 2026
View full firm profileOther advisors at Diversifi Capital Inc
6 other advisors in the directory
Similar advisors in Los Altos, CA
Other advisors whose filed branch office is in the same city.
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Alfred Ho Fai Au has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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