YIM INVESTMENT MANAGEMENT, LLC
Adviser information for YIM INVESTMENT MANAGEMENT, LLC last updated from Form ADV on March 26th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Hawaii, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,422 | $227.6M |
| Non-Discretionary | 34 | $14.2M |
| Total | 1,456 | $241.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 397 | $117.5M |
| HNW Individuals | 78 | $124.3M |
| 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 | 0 | $0 |
| Charitable organizations | 0 | $0 |
| 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 | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesPublication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | % of AUMCommissions |
| Other Business Activities | Registered representative of a broker-dealerReal estate broker, dealer, or agentInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-64818 |
|---|---|
| SEC ERA File Number | 801-64818 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 136984 |
| Legal Entity Identifier | None |
Principal Office
1950 YOUNG STREET SUITE 288HONOLULU
HI
United States
Monday - Friday, 8:00 A.M. TO 5:00 P.M.
Tel: 808-955-8800, Fax: (888)557-2816
Websites
Chief Compliance Officer
KAIDE LIU
CHIEF COMPLIANCE OFFICER
1950 YOUNG STREET SUITE 288
HONOLULU
HI
United States
Tel:
808-955-8800
Fax:
888 557-2816
K****@*********M
(Full email address available in API data)
Regulatory Contact
MARIO K.M. YIM
CHIEF INVESTMENT OFFICER
1950 YOUNG STREET STE 288
HONOLULU
HI
United States
Tel:
808-955-8800
Fax:
888 557-2816
M***@*********M
(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 |
|---|---|---|---|---|---|
| YIM, MARIO, KAI MING | Individual | – | MANAGING MEMBER & CHIEF INVESTMENT OFFICER | 11/2005 | 50-75% |
| ING, SUSIE, LAU | Individual | – | MANAGING MEMBER | 11/2005 | 50-75% |
| Liu, Kaide | Individual | – | CHIEF COMPLIANCE OFFICER (CCO) | 02/2024 | < 5% |