Sean Yu
 |
Sean Yu
and BA, Political Science, 1999 |
Sean Yu is a Managing Director and leader of The Sean Yu Group at Morgan Stanley Private Wealth
Management. Sean was named to Forbes Top 250 Wealth Advisors for six consecutive years, 2016 through
2021, and #8 of Best-In-State Wealth Advisors in Los Angeles in 2021. He was also ranked by On Wall Street in
its “Top 40 Financial Advisors under 40” for four consecutive years from 2014 to 2017, having ranked as high
as #3 in 2017. Since 2016, Sean has been consistently recognized on Barron’s “Top 100 Financial Advisors in
California” and Financial Times’ “FT 400 Top Financial Advisors.”
Sean has had extensive involvement in the Cal Poly Pomona community since 2016. From 2016 to 2018, Sean
was on the Investment Committee of the Board of Directors of the Cal Poly Pomona Foundation (Enterprise
Foundation). From 2018 to 2021, he sat on the Investment Committee of the board of directors at Cal Poly
Pomona Philanthropic Foundation, having formerly chaired the Investment Committee for around 3 years.
Starting from 2022, Sean has chaired the Audit Committee of the board of directors at the Cal Poly Pomona
Philanthropic Foundation. In 2020, Sean set up the Sean Yu Travel Fund to help cultivate awareness of new
cultures through travel abroad experiences. Additionally, he set up the David Speak/Sean Yu Endowment
Fund to help bring distinguished lecturers to campus as well as provide grants for faculty research, and The
Sid Sillman, Sean Yu Endowment to provide financial support for students looking to intern in Human Rights
and Justice.
Sean leads numerous philanthropic and social leadership activities. He founded the Taiwanese American
Scholarship Fund for underprivileged students, and co-founded the Los Angeles Chapter of The Chinese
Finance Association. Additionally, Sean serves on the Advisory Council of the Division of Social Sciences at The
University of Chicago. For his contributions, he was awarded the “2014 Asian Business Award for public
Company of the Year” from the Los Angeles Business Journal, and the Philanthropy Leadership Award by the
Asian Pacific Community Fund.
Sean received his B.A. in Political Science and B.S. in Management & Human Resources from Cal Poly Pomona
and M.A. in International Relations from the University of Chicago. He is fluent in English, Mandarin Chinese,
and Taiwanese.
DISCLOSURES
Source: Forbes.com (August, 2022). America’s Top Wealth Advisors ranking was developed by SHOOK
Research and is based on in-person and telephone due diligence meetings and a ranking algorithm that
includes: client retention, industry experience, review of compliance records, firm nominations; and
quantitative criteria, including: assets under management and revenue generated for their firms. Investment
performance is not a criterion. Rankings are based on the opinions of SHOOK Research, LLC and are not
indicative of future performance or representative of any one client’s experience. Neither Forbes nor SHOOK
receives compensation from any party, including Morgan Stanley Smith Barney LLC, nor its Financial Advisors
or Private Wealth Advisors in exchange for the ranking. For more information, see www.SHOOKresearch.com.
Source: Forbes.com (February, 2021). Forbes Best-in-State Wealth Advisors ranking was developed by SHOOK
Research and is based on in-person, virtual and telephone due diligence meetings to evaluate each advisor
qualitatively, a major component of a ranking algorithm that includes: client retention, industry experience,
review of compliance records, firm nominations; and quantitative criteria, including: assets under
management and revenue generated for their firms. Investment performance is not a criterion because client
objectives and risk tolerances vary, and advisors rarely have audited performance reports. Rankings are
based on the opinions of SHOOK Research, LLC and are not indicative of future performance or
representative of any one client’s experience. Neither Morgan Stanley Smith Barney LLC nor its Financial
Advisors or Private Wealth Advisors pay a fee to Forbes or SHOOK Research in exchange for the ranking. For
more information, see www.SHOOKresearch.com.
On Wall Street's Top 40 Under 40 asks brokerage firms to nominate their top young brokers. Of those
nominated, On Wall Street bases its rankings on quantitative and qualitative criteria. Financial Advisors are
ranked by their annual trailing-12 month production (as of Sept 30, 2016). The rating is not indicative of the
advisor's future performance. Neither Morgan Stanley Smith Barney LLC nor its financial advisors pay a fee to
On Wall Street in exchange for the rating.
Source: Barrons.com (April, 2022). Barron’s Top 100 Financial Advisors bases its ratings on qualitative criteria:
professionals with a minimum of seven years of financial services experience, acceptable compliance records,
client retention reports, customer satisfaction, and more. Financial Advisors are quantitatively rated based on
varying types of revenues and assets advised by the financial professional, with weightings associated for
each. Because individual client portfolio performance varies and is typically unaudited, this rating focuses on
customer satisfaction and quality of advice. The rating may not be representative of any one client’s
experience because it reflects a sample of all of the experiences of the Financial Advisor’s clients. The rating is
not indicative of the Financial Advisor’s past or future performance. Neither Morgan Stanley Smith Barney
LLC nor its Financial Advisors or Private Wealth Advisors pays a fee to Barron's in exchange for the rating.
Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights reserved.
Source: The Financial Times 400 Top Financial Advisors is an independent listing produced annually by Ignites
Research, a division of Money-Media, Inc., on behalf of the Financial Times (April 2020). The FT 400 is based
on data gathered from advisors, broker-dealer home offices, regulatory disclosures, and the FT’s research.
The listing reflects each advisor’s status in six primary areas: assets under management (AUM), asset growth,
compliance record, experience, credentials and online accessibility. This award does not evaluate the quality
of services provided to clients and is not indicative of the advisor’s future performance. Neither the
brokerages nor the advisors pay a fee to the Financial Times in exchange for inclusion in the FT 400.