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David H. Lui
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Profile
David H.
Lui is currently an Independent Director at X3 Acquisition Corp.
Ltd. since 2026.
Former positions include Chairman at the National Society of Compliance Professionals; Chief Compliance Officer at Franklin Resources, Inc. in 2005; Chief Compliance Officer at Minnesota Municipal Income Portfolio, Inc.; Vice President at Charles Schwab Investment Management, Inc.; Chief Compliance Officer at US Bancorp Asset Management, Inc.; Principal at Charles Schwab & Co., Inc.; and Chief Compliance Officer at Franklin Advisers, Inc. in 2005.
Education includes an undergraduate degree from Brown University in 1982, graduate degrees from the University of California in 1988, and the University of California, Hastings.
David H. Lui active positions
| Companies | Position | Start |
|---|
Former positions of David H. Lui
| Companies | Position | End |
|---|---|---|
| FRANKLIN RESOURCES, INC. | General Counsel | 01/03/2005 |
Franklin Advisers, Inc.
 Franklin Advisers, Inc. Investment ManagersFinance Franklin Advisers provides advisory services to a range of products and separate accounts which utilize various investment strategies including equity, fixed income, core, hybrid, and multi-asset strategies. The firm employs fundamental, bottom-up investment analysis to select securities within a specific sector or industry. | General Counsel | 01/03/2005 |
National Society of Compliance Professionals
 National Society of Compliance Professionals Miscellaneous Commercial ServicesCommercial Services Operates as a nonprofit organization that serves and supports compliance professionals in the financial services industry | Chairman | - |
US Bancorp Asset Management, Inc.
 US Bancorp Asset Management, Inc. Investment ManagersFinance USBAM’s investment process strives to preserve principal, maintain liquidity, manage risk to client parameters, and produce returns commensurate with client goals. The firm primarily utilizes fundamental analysis in managing client assets. They focus on taxable and tax-exempt high-quality fixed income securities with investment objectives of safety, liquidity, diversification and yield. | Compliance Officer | - |
Charles Schwab & Co., Inc.
 Charles Schwab & Co., Inc. Investment Banks/BrokersFinance Provides financial instruments, securities brokerage and investment advisory services | Corporate Officer/Principal | - |
Training of David H. Lui
Experiences
Positions held
Active
Inactive
Listed companies
Private companies
Connections
90
1st degree connections
10
1st degree companies
Male
Female
Members of the board
Executives
Linked companies
| Private companies | 10 |
|---|---|
Franklin Resources, Inc.
 Franklin Resources, Inc. Investment ManagersFinance Operates as a holding company which provides investment management services | Finance |
Minnesota Municipal Income Portfolio, Inc.
 Minnesota Municipal Income Portfolio, Inc. Investment Trusts/Mutual FundsMiscellaneous Closed-End Investment Fund/Investment Trust | Miscellaneous |
Charles Schwab Investment Management, Inc.
 Charles Schwab Investment Management, Inc. Investment ManagersFinance Schwab Asset Management provides advice about a variety of investments, ranging from equity and fixed income to money market securities and provides advice as to the selection of investment advisers and pooled investment vehicles for certain clients. The firm utilizes a proprietary process and models to help guide investment decisions and seeks to manage portfolio risk. | Finance |
US Bancorp Asset Management, Inc.
US Bancorp Asset Management, Inc. Investment ManagersFinance USBAM’s investment process strives to preserve principal, maintain liquidity, manage risk to client parameters, and produce returns commensurate with client goals. The firm primarily utilizes fundamental analysis in managing client assets. They focus on taxable and tax-exempt high-quality fixed income securities with investment objectives of safety, liquidity, diversification and yield. | Finance |
Charles Schwab & Co., Inc.
Charles Schwab & Co., Inc. Investment Banks/BrokersFinance Provides financial instruments, securities brokerage and investment advisory services | Finance |
Brown University
 Brown University Other Consumer ServicesConsumer Services Functions as a College/University | Consumer Services |
Franklin Advisers, Inc.
Franklin Advisers, Inc. Investment ManagersFinance Franklin Advisers provides advisory services to a range of products and separate accounts which utilize various investment strategies including equity, fixed income, core, hybrid, and multi-asset strategies. The firm employs fundamental, bottom-up investment analysis to select securities within a specific sector or industry. | Finance |
National Society of Compliance Professionals
National Society of Compliance Professionals Miscellaneous Commercial ServicesCommercial Services Operates as a nonprofit organization that serves and supports compliance professionals in the financial services industry | Commercial Services |
University of California, Hastings
 University of California, Hastings Other Consumer ServicesConsumer Services Functions as a College/University | Consumer Services |
University of California
 University of California Other Consumer ServicesConsumer Services Functions as a College/University | Consumer Services |
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