Yim Investment Management, LLC (Honolulu)

Name: Yim Investment Management, LLC
Address: 1950 Young Street Suite 288, Honolulu, HI, 96826 2150
Telephone: 808-955-8800

Yim Investment Management, LLC is a large advisory firm based in Honolulu. It manages $170.52 million of regulatory assets for 2,080 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdiction of Hawaii.

Yim Investment Management provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, pension consulting services, publication of newsletters, and educational seminars and workshops. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Yim Investment Management: assets under management

The assets under management (AUM) of Yim Investment Management, LLC is $170.52 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 33% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $170.52 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $81.98 thousand each.

Investments

The firm invests in exchange traded securities the most. They account for 98% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 2% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Yim Investment Management, LLC for their services and products based on a percentage of assets under management and commissions. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Yim Investment Management serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Yim Investment Management is high net worth individuals with 650 clients and $119.97 million of assets under management. Among the 8 most similar advisory firms, Yim Investment Management has the 4th highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $170.52 million for 685 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Yim Investment Management doesn't advise any private funds.

Careers at Yim Investment Management, LLC

The company employs 5 people that are either part- or full-time employees. 20 percent of the employees work as investment advisers or researchers. Only one employee is registered as an investment adviser representative with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Mario Kai Ming Yim	Co-owner/chief financial officer	1 Nov 2005	50% - 75%	2565839
Susie Lau Ing	Co-owner	1 Nov 2005	50% - 75%	1179535
Ginette Meiling Wong	Chief compliance officer	1 Oct 2006	Other	2937595
Kevin John Abamonga	Chief compliance officer	1 Jan 2008	Other	5397786
Kevin John Abamonga	Chief compliance officer	1 Jun 2014	Other	5397786
Lindsey Kyle Nip	Chief compliance officer	1 Aug 2015	Other	6353640
Jonathan Saburo Uyeda	Chief compliance officer	1 Feb 2017	Other	6756919
Kevin John Abamonga	Chief compliance officer (cco)	1 Sep 2017	Other	5397786

Based in Honolulu

The principal office where Yim Investment Management, LLC performs its advisory services is located at 1950 Young Street Suite 288, Honolulu, HI 96826 2150, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 808-955-8800 or by fax (888)557-2816. The normal business hours are 8:00 a.m. to 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at yimllc.com.