Hedge Fund Database

APRIEM ADVISORS

Adviser information for APRIEM ADVISORS last updated from Form ADV on March 5th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Corporation
Fiscal Year End DECEMBER
Legal Location California, United States

Employees

Total Number of Employees 16
Investment Advisory/Research 14
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 13
Licensed Agents of an Insurance Company 8
No. of Firms/People that Solicit Clients 1

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 2,463 $1.0B
Non-Discretionary 4 $8.9M
Total 2,467 $1.0B

Clients

Type Number RAUM
Individuals 560 $223.4M
HNW Individuals 286 $736.4M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans <5 $21.8M
Charitable organizations 5 $68.1M
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 0 $0
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 1
No. of Financial Planning Clients 251-500

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesPublication of periodicals or newslettersEducational seminars/workshops
Compensation % of AUMFixed feesPerformance-based fees
Other Business Activities Insurance broker or agent

Identifiers

SEC RIA File Number 801-55371
SEC ERA File Number 801-55371
SEC CIK Numbers 1425165
SEC CRD Numbers 108188
Legal Entity Identifier None

Principal Office

19200 VON KARMAN AVENUE
SUITE 1050
IRVINE
CA
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: (949) 253-8888, Fax: (949) 253-8891

Websites

www.apriem.com www.facebook.com/apriemadvisors/ www.linkedin.com/company/apriemadvisors www.instagram.com/apriem_advisors/ www.youtube.com/c/apriemadvisors

Chief Compliance Officer

RHONDA DUCOTE
PRESIDENT
19200 VON KARMAN AVENUE
SUITE 1050
IRVINE
CA
United States
Tel: (949) 253-8888
Fax: (949) 253-8891
(Full email address available in API data)

Regulatory Contact

CHRISTOPHER WHITAKER
ASSISTANT COMPLIANCE OFFICER
19200 VON KARMAN AVENUE
SUITE 1050
IRVINE
CA
United States
Tel: (949) 253-8888
Fax: (949) 253-8891
(Full email address available in API data)

Industry Affiliates

None

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
KONG, HARMON, ANSON Individual – SECRETARY, CFO, TREASURER, CHIEF WEALTH MANAGER, DIRECTOR, TRUSTEE OF KONG TRUST 01/1998 50-75%
LE, TRUC, TRONG Individual – TRUSTEE OF TRUC TRONG LE TRUST 01/2000 5-10%
DUCOTE, RHONDA, LOUISE Individual – PRESIDENT, CHIEF COMPLIANCE OFFICER, SENIOR WEALTH MANAGER, DIRECTOR, TRUSTEE OF DUCOTE FAMILY TRUST 01/2010 10-25%
LAU, BENJAMIN, CHIU-FUNG Individual – VICE PRESIDENT, CHIEF INVESTMENT OFFICER, DIRECTOR, TRUSTEE OF LAU FAMILY TRUST 01/2010 10-25%
DUCOTE FAMILY TRUST DATED 8/28/2001 Domestic Entity – SHAREHOLDER 01/2010 10-25%
THE KONG TRUST DATED 8-17-1998 Domestic Entity – SHAREHOLDER 01/1998 50-75%
TRUC TRONG LE TRUST DATED 11/5/1998 Domestic Entity – SHAREHOLDER 01/2000 5-10%
LAU FAMILY TRUST DATED 8/2/13 Domestic Entity – SHAREHOLDER 01/2010 10-25%
DUCOTE, JAMES, NOLAN Individual – TRUSTEE OF DUCOTE FAMILY TRUST 08/2001 10-25%
KONG, LEA, THERESA Individual – TRUSTEE OF KONG TRUST 08/1998 50-75%
LAU, WENDY, YOUME Individual – TRUSTEE OF LAU FAMILY TRUST 08/2013 10-25%
YOSHIDA, LANDON, MAKOTO Individual – TRUSTEE OF YOSHIDA FAMILY TRUST 01/2017 5-10%
Yoshida, Erica, Miyeko Individual – TRUSTEE OF YOSHIDA FAMILY TRUST 01/2017 5-10%
YOSHIDA FAMILY TRUST Domestic Entity – SHAREHOLDER 01/2017 5-10%

No. Employees, Historic

2010020202021202220232024202514 on 3/12/202014 on 4/22/202014 on 6/30/202014 on 7/30/202014 on 9/11/202014 on 11/9/202014 on 11/13/202014 on 3/16/202118 on 3/2/202218 on 3/9/202218 on 3/10/202218 on 8/1/202216 on 3/17/202316 on 5/26/202316 on 11/2/202316 on 3/5/2024

RAUM, Historic

2B1B0202020212022202320242025760199692 on 3/12/2020760199692 on 4/22/2020760199692 on 6/30/2020760199692 on 7/30/2020760199692 on 9/11/2020760199692 on 11/9/2020760199692 on 11/13/2020875925037 on 3/16/20211007886557 on 3/2/20221007886557 on 3/9/20221007886557 on 3/10/20221007886557 on 8/1/2022862064892 on 3/17/2023862064892 on 5/26/2023862064892 on 11/2/20231049674469 on 3/5/2024

No. Clients, Historic

9004500202020212022202320242025639 on 3/12/2020639 on 4/22/2020639 on 6/30/2020639 on 7/30/2020639 on 9/11/2020639 on 11/9/2020639 on 11/13/2020660 on 3/16/2021708 on 3/2/2022708 on 3/9/2022708 on 3/10/2022708 on 8/1/2022791 on 3/17/2023791 on 5/26/2023791 on 11/2/2023851 on 3/5/2024

Holdings

From latest 13F, filed August 14th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBOTT LABS COM 335K 3K –
ABBVIE INC COM 2M 13K –
ABRDN ASIA PACIFIC INCOME FU COM 96K 36K –
ADOBE INC COM 15M 27K –
ADVANCED MICRO DEVICES INC COM 4M 23K –
AGNICO EAGLE MINES LTD COM 4M 55K –
ALPHABET INC CAP STK CL C 2M 13K –
ALPHABET INC CAP STK CL A 24M 130K –
ALTAIR ENGR INC COM CL A 1M 15K –
AMAZON COM INC COM 19M 97K –
AMERICAN TOWER CORP NEW COM 15M 78K –
AMGEN INC COM 789K 3K –
ANSYS INC COM 356K 1K –
APPLE INC COM 51M 244K –
AT&T INC COM 755K 39K –
AUTODESK INC COM 12M 47K –
AUTOMATIC DATA PROCESSING IN COM 5M 20K –
BANK AMERICA CORP COM 1M 34K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 6M 15K –
BLACKROCK CALIF MUN INCOME T SH BEN INT 263K 22K –
BLACKROCK FLOATING RATE INCO COM 494K 38K –
BOEING CO COM 4M 23K –
BROADCOM INC COM 1M 870 –
BROWN & BROWN INC COM 388K 4K –
CADELER A S SPON ADR 363K 14K –
CASTOR MARITIME INC SHS 87K 19K –
CELSIUS HLDGS INC COM NEW 1M 18K –
CENCORA INC COM 424K 2K –
CHEVRON CORP NEW COM 1M 8K –
CINTAS CORP COM 10M 15K –
CISCO SYS INC COM 761K 16K –
CLOROX CO DEL COM 281K 2K –
COLGATE PALMOLIVE CO COM 246K 3K –
COMCAST CORP NEW CL A 290K 7K –
COMMERCE BANCSHARES INC COM 203K 4K –
CONSOLIDATED EDISON INC COM 1M 13K –
COSTAR GROUP INC COM 312K 4K –
COSTCO WHSL CORP NEW COM 2M 2K –
CROWDSTRIKE HLDGS INC CL A 253K 660 –
CVB FINL CORP COM 595K 35K –
DATADOG INC CL A COM 363K 3K –
DELL TECHNOLOGIES INC CL C 261K 2K –
DIMENSIONAL ETF TRUST US EQUITY ETF 330K 6K –
DISNEY WALT CO COM 13M 129K –
DNP SELECT INCOME FD INC COM 143K 17K –
DOUBLELINE OPPORTUNISTIC CR COM 432K 28K –
DUKE ENERGY CORP NEW COM NEW 241K 2K –
EATON CORP PLC SHS 3M 9K –
EATON VANCE LTD DURATION INC COM 305K 31K –
ECOLAB INC COM 229K 962 –
ELI LILLY & CO COM 734K 811 –
EMERSON ELEC CO COM 549K 5K –
ETFS GOLD TR PHYSCL GOLD SHS 253K 11K –
EXPONENT INC COM 239K 3K –
EXXON MOBIL CORP COM 15M 127K –
FASTENAL CO COM 500K 8K –
FIDELITY COVINGTON TRUST MSCI INFO TECH I 394K 2K –
FIRST TR EXCH TRADED FD III PFD SECS INC ETF 521K 30K –
FIRST TR EXCHANGE-TRADED FD MULTI ASSET DI 594K 38K –
FIRST TR SR FLTG RATE INCOME COM 202K 20K –
FORD MTR CO DEL COM 165K 13K –
GENERAL MLS INC COM 214K 3K –
GLAUKOS CORP COM 249K 2K –
GOLDMAN SACHS GROUP INC COM 218K 481 –
HOME DEPOT INC COM 783K 2K –
HONEYWELL INTL INC COM 1M 5K –
INTEL CORP COM 12M 394K –
INTERNATIONAL BUSINESS MACHS COM 247K 1K –
INTUIT COM 11M 16K –
INTUITIVE SURGICAL INC COM NEW 526K 1K –
INVESCO EXCH TRADED FD TR II NASDAQ 100 ETF 15M 74K –
INVESCO EXCH TRADED FD TR II S&P500 LOW VOL 216K 3K –
INVESCO EXCHANGE TRADED FD T S&P500 EQL TEC 3M 72K –
INVESCO QQQ TR UNIT SER 1 6M 12K –
IRON MTN INC DEL COM 287K 3K –
ISHARES TR PFD AND INCM SEC 801K 25K –
ISHARES TR RUSSELL 2000 ETF 1M 7K –
ISHARES TR ISHS 5-10YR INVT 261K 5K –
ISHARES TR CORE S&P500 ETF 477K 872 –
ISHARES TR ISHARES BIOTECH 226K 2K –
ISHARES TR RUS 1000 GRW ETF 6M 15K –
JOHNSON & JOHNSON COM 2M 14K –
JPMORGAN CHASE & CO. COM 11M 52K –
KIMBERLY-CLARK CORP COM 316K 2K –
KLA CORP COM NEW 3M 4K –
LAM RESEARCH CORP COM 2M 2K –
LOCKHEED MARTIN CORP COM 16M 33K –
LOWES COS INC COM 2M 9K –
MARSH & MCLENNAN COS INC COM 376K 2K –
MCDONALDS CORP COM 209K 819 –
MEDTRONIC PLC SHS 452K 6K –
MERCK & CO INC COM 1M 10K –
META PLATFORMS INC CL A 2M 4K –
MICRON TECHNOLOGY INC COM 514K 4K –
MICROSOFT CORP COM 8M 18K –
MORGAN STANLEY COM NEW 400K 4K –
NETFLIX INC COM 1M 2K –
NEW YORK TIMES CO CL A 331K 6K –
NEXTERA ENERGY INC COM 267K 4K –
NORTHROP GRUMMAN CORP COM 464K 1K –
NOVO-NORDISK A S ADR 219K 2K –
NUVEEN CA QUALTY MUN INCOME COM 474K 41K –
NUVEEN CALIFORNIA AMT QLT MU COM 706K 56K –
NUVEEN S&P 500 BUY-WRITE INC COM 266K 20K –
NVIDIA CORPORATION COM 7M 54K –
ORACLE CORP COM 361K 3K –
PALO ALTO NETWORKS INC COM 1M 4K –
PARKER-HANNIFIN CORP COM 691K 1K –
PAYPAL HLDGS INC COM 10M 177K –
PBF ENERGY INC CL A 581K 13K –
PEPSICO INC COM 654K 4K –
PFIZER INC COM 1M 53K –
PHILLIPS 66 COM 305K 2K –
PRICE T ROWE GROUP INC COM 734K 6K –
PROCTER AND GAMBLE CO COM 1M 6K –
PROSHARES TR PSHS ULTRA QQQ 244K 2K –
QUALCOMM INC COM 3M 13K –
REGENERON PHARMACEUTICALS COM 17M 16K –
RESMED INC COM 13M 69K –
ROPER TECHNOLOGIES INC COM 380K 675 –
RTX CORPORATION COM 858K 9K –
SALESFORCE INC COM 231K 897 –
SCHLUMBERGER LTD COM STK 11M 244K –
SCHWAB CHARLES CORP COM 591K 8K –
SCHWAB STRATEGIC TR US LCAP VA ETF 3M 40K –
SCHWAB STRATEGIC TR US LCAP GR ETF 1M 10K –
SCHWAB STRATEGIC TR US DIVIDEND EQ 5M 70K –
SCHWAB STRATEGIC TR US SML CAP ETF 205K 4K –
SCHWAB STRATEGIC TR US AGGREGATE B 5M 119K –
SCHWAB STRATEGIC TR US BRD MKT ETF 9M 140K –
SCHWAB STRATEGIC TR INTL EQTY ETF 31M 799K –
SCHWAB STRATEGIC TR EMRG MKTEQ ETF 9M 332K –
SCHWAB STRATEGIC TR US LRG CAP ETF 129M 2M –
SELECT SECTOR SPDR TR TECHNOLOGY 584K 3K –
SELECT SECTOR SPDR TR SBI INT-UTILS 3M 45K –
SNAP ON INC COM 13M 51K –
SPDR DOW JONES INDL AVERAGE UT SER 1 2M 4K –
SPDR GOLD TR GOLD SHS 421K 2K –
SPDR S&P 500 ETF TR TR UNIT 12M 22K –
SPDR SER TR PORTFOLIO S&P500 337K 5K –
SPDR SER TR BLOOMBERG 1-3 MO 35M 382K –
SPROTT PHYSICAL SILVER TR TR UNIT 99K 10K –
STARBUCKS CORP COM 1M 17K –
STRYKER CORPORATION COM 3M 8K –
SUPER MICRO COMPUTER INC COM 915K 1K –
TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 391K 2K –
TARGET CORP COM 559K 4K –
TESLA INC COM 10M 52K –
TEXAS INSTRS INC COM 324K 2K –
TRACTOR SUPPLY CO COM 383K 1K –
TYLER TECHNOLOGIES INC COM 268K 533 –
UNION PAC CORP COM 566K 3K –
UNITEDHEALTH GROUP INC COM 378K 742 –
VANECK ETF TRUST SEMICONDUCTR ETF 1M 5K –
VANECK ETF TRUST GOLD MINERS ETF 3M 93K –
VANECK ETF TRUST MRNGSTR WDE MOAT 15M 174K –
VANECK ETF TRUST PREFERRED SECURT 519K 30K –
VANGUARD BD INDEX FDS TOTAL BND MRKT 53M 736K –
VANGUARD INDEX FDS SML CP GRW ETF 246K 985 –
VANGUARD INDEX FDS TOTAL STK MKT 550K 2K –
VANGUARD INDEX FDS S&P 500 ETF SHS 1M 3K –
VANGUARD INDEX FDS GROWTH ETF 345K 922 –
VANGUARD INDEX FDS VALUE ETF 313K 2K –
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 9M 203K –
VANGUARD MALVERN FDS STRM INFPROIDX 3M 59K –
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 32M 645K –
VANGUARD WHITEHALL FDS HIGH DIV YLD 280K 2K –
VANGUARD WORLD FD MEGA CAP VAL ETF 4M 32K –
VANGUARD WORLD FD MEGA GRWTH IND 5M 16K –
VANGUARD WORLD FD CONSUM STP ETF 203K 1K –
VERISK ANALYTICS INC COM 306K 1K –
VERIZON COMMUNICATIONS INC COM 387K 9K –
VISA INC COM CL A 665K 3K –