Apriem Advisors provides financial planning, portfolio management for individuals and small businesses, pension consulting, selecting other managers, publishing newsletters, educational seminars, estate planning, insurance, and philanthropic planning. Financial planning was provided to 251–500 clients last fiscal year.
Apriem Advisors reports 1,071 clients. They include 715 individual clients, 345 high-net-worth individuals and 9 charitable organizations. Of its assets, 98.5% ($1.46B across 2,875 accounts) are managed with discretion; $22.9M across 3 accounts are not.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 67% | 22% |
| High-net-worth individuals | 32% | 70% |
| Pension and profit-sharing plans | <1% | 2% |
| Charitable organizations | <1% | 6% |
| Corporations and other businesses | <1% | <1% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 715 | $320M | 21.6% | $447K |
| High-net-worth individuals | 345 | $1.04B | 70.4% | $3.03M |
| Pension and profit-sharing plans | Fewer than 5 | $26M | 1.8% | $26M |
| Charitable organizations | 9 | $88.3M | 6.0% | $9.82M |
| Corporations and other businesses | Fewer than 5 | $5.64M | 0.4% | $5.64M |
| Total | 1,071 | $1.48B | 100% | — |
- Clients
- 715
- Regulatory AUM
- $320M
- AUM share
- 21.6%
- Avg. per client
- $447K
- Clients
- 345
- Regulatory AUM
- $1.04B
- AUM share
- 70.4%
- Avg. per client
- $3.03M
- Clients
- Fewer than 5
- Regulatory AUM
- $26M
- AUM share
- 1.8%
- Avg. per client
- $26M
- Clients
- 9
- Regulatory AUM
- $88.3M
- AUM share
- 6.0%
- Avg. per client
- $9.82M
- Clients
- Fewer than 5
- Regulatory AUM
- $5.64M
- AUM share
- 0.4%
- Avg. per client
- $5.64M
Total
- Clients
- 1,071
- Regulatory AUM
- $1.48B
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 251–500
Apriem Advisors charges 0.50%–0.95% a year for its Wealth Management Services. The fee is billed in arrears and is negotiable. The brochure also prices 3 other services, listed under fee details.
Fee details and sources
Other fees
- Estate Planning Services
- Estate planning is billed per project at $250 to $2,795 depending on the scope of work agreed.
- Financial Planning Services
- Financial planning is billed per project at $500 to $10,000 depending on the complexity of the estate, with 50% due on engagement.
- Retirement Plan Services
- Retirement plan services are charged a flat 0.75% annual fee on quarter-end plan assets, with a $5,000 minimum.
Harmon Kong owns 50% to 75% of Apriem Advisors. The leadership team of Apriem Advisors includes President Rhonda Ducote, Chief Investment Officer Benjamin Lau and Chief Financial Officer Jennifer Olson. It has 17 employees, 14 of them in advisory roles.
Leadership
- Rhonda DucotePresident, Chief Compliance Officer, Senior Wealth Manager, Director, Trustee of Ducote Family Trust
- Benjamin LauVice President, Chief Investment Officer, Director, Trustee of Lau Family Trust
- Jennifer OlsonChief Financial Officer
- Harmon KongSecretary, CFO, Treasurer, Chief Wealth Manager, Director, Trustee of Kong Trust
- Christopher WhitakerChief Wealth Manager
- James DucoteTrustee of Ducote Family Trust
- Lea KongTrustee of Kong Trust
- Wendy LauTrustee of Lau Family Trust
- Landon YoshidaTrustee of Yoshida Family Trust
- Erica YoshidaTrustee of Yoshida Family Trust
Investment adviser representatives
13 representatives listed in the SEC register as of 9 October 2026.
- Cole Nolan Ducote
- Rhonda Louise Ducote
- Joshua James Umberto Garland
- Mark Keizo Iwamoto
- Harmon Anson Kong
- Kyle Christian Kong
- Benjamin Chiu-Fung Lau
- Jennifer Necir Olson
- Josealfredo Vargas Rendon
- Megan Elizabeth Schwab
- Christopher Alan Whitaker
- Kenneth Lloyd Wolin
- Landon Makoto Yoshida
Staff
- 17 employees
- 14 in advisory functions
- 13 state-registered reps
- 9 insurance agents
- 1 soliciting firm
- Owns 50% to 75% of Apriem Advisors
Harmon Kong
Control person · since January 1998
- Owns 50% to 75% of Apriem Advisors
The Kong Trust Dated 8-17- 1998
Control person · since January 1998
- Owns 50% to 75% of Apriem Advisors
The Kong Trust Dated 8-17-
Control person · since January 1998
- Owns 50% to 75% of Apriem Advisors
Lea Kong
since August 1998
- Owns 10% to 25% of Apriem Advisors
Rhonda Ducote
Control person · since January 2010
- Owns 10% to 25% of Apriem Advisors
Benjamin Lau
Control person · since January 2010
- Owns 10% to 25% of Apriem Advisors
Ducote Family Trust Dated 8/28/2001
Control person · since January 2010
- Owns 10% to 25% of Apriem Advisors
Ducote Family Trust Dated
Control person · since January 2010
- Owns 10% to 25% of Apriem Advisors
Lau Family Trust Dated 8/2/13
Control person · since January 2010
- Owns 10% to 25% of Apriem Advisors
Lau Family Trust Dated
Control person · since January 2010
- Owns 10% to 25% of Apriem Advisors
James Ducote
since August 2001
- Owns 10% to 25% of Apriem Advisors
Wendy Lau
since August 2013
- Owns 5% to 10% of Apriem Advisors
Landon Yoshida
since January 2017
- Owns 5% to 10% of Apriem Advisors
Erica Yoshida
since January 2017
- Owns 5% to 10% of Apriem Advisors
Yoshida Family Trust
since January 2017
Apriem Advisors’ regulatory assets grew 1.7× from $876M (March 2021) to $1.48B (July 2026); clients rose from 660 to 1,071 and employees from 14 to 17.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| July 2026 | $1.48B | 1,071 | 17 | 1 |
| March 2025 | $1.23B | 967 | 17 | 3 |
| March 2024 | $1.05B | 851 | 16 | 4 |
| May 2023 | $862M | 791 | 16 | 4 |
| March 2022 | $1.01B | 708 | 18 | 3 |
| March 2021 | $876M | 660 | 14 | 3 |
Besides its headquarters, Apriem Advisors has 0 offices, with 1 listed address in California.
California · 1 listed address
- 19200 Von Karman Avenue, Suite 1050, IrvineHQ
Contact and registration details
- Legal name
- Apriem Advisors
- Headquarters
- 19200 Von Karman Avenue, Suite 1050, Irvine, CA 92612
- Website
- apriem.com
- Phone
- 949-253-8888
- @apriemadvisors
- SEC file
- 801-55371
- Founded
- 1998
- Structure
- California corporation
- Fiscal year end
- December
Apriem Advisors uses Charles Schwab ($1.46B) as custodian for its separately managed accounts. Apriem Advisors has custody of $527M in client assets for 495 clients.
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $1.46B100%
At year end, Apriem Advisors’ separately managed accounts were mostly in funds (59%) and stocks (31%). Its reported 13F holdings for the quarter ended 30 June 2026 total $1.16B across 182 positions; the largest are Schwab Strategic TR (13.8%), Vanguard BD Index Fds (6.1%) and Apple Inc. (6.0%).
What the accounts hold
- Stocks31%
- Funds59%
- Bonds5%
- U.S. government and agency bonds2%
- Investment grade corporate bonds2%
- State and local bonds1%
- Cash5%
Reported 13F holdings
- $1.16B
- Reported 13F value
- 182
- Positions
- 53.0%
- In the 10 largest
- +10.2%
- Value vs. prior quarter
- Schwab Strategic TR · US Lrg Cap ETF13.8%
- Vanguard BD Index Fds · Total Bnd Mrkt6.1%
- Apple Inc.6.0%
- Vanguard World FD · Mega Cap Val ETF4.9%
- Vaneck ETF Trust · Mrngstr Wde Moat4.3%
- SPDR Series Trust · ST Str Blo 1 ETF3.9%
- Vanguard Tax-managed Fds · Van FTSE Dev Mkt3.6%
- Vanguard Intl Equity Index F · FTSE Emr Mkt ETF3.5%
- Alphabet Inc. · Cap Stk CL A3.5%
- Schwab Strategic TR · US Dividend EQ3.4%
Together, the ten largest are 53.0% of reported value.
How many clients does Apriem Advisors have?
Apriem Advisors has 1,071 clients and manages $1.48 billion for them, as of July 2026. They include 715 individual clients, 345 high-net-worth individuals and 9 charitable organizations.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 10 July 2026
What services does Apriem Advisors offer?
Apriem Advisors provides financial planning, portfolio management for individuals and small businesses, pension consulting, selecting other managers, publishing newsletters, educational seminars, estate planning, insurance, and philanthropic planning.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
How much does Apriem Advisors charge?
Apriem Advisors charges 0.50%–0.95% a year for its Wealth Management Services. The fee is billed in arrears and is negotiable.
Which custodians does Apriem Advisors use?
Apriem Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $1.46B. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 10 July 2026
How many financial advisors does Apriem Advisors have?
Apriem Advisors has 13 investment adviser representatives registered with state securities authorities, out of 17 employees, and 14 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 9 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Apriem Advisors invest in?
At the end of its last fiscal year, Apriem Advisors’ separately managed accounts held 59% registered funds (mutual funds, ETFs, BDCs), 31% exchange-traded equities, 5% cash and equivalents, 2% U.S. government and agency bonds, 2% investment grade corporate bonds and 1% state and local bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Apriem Advisors?
Apriem Advisors’ direct owners are Harmon Kong (50% to 75%), Rhonda Ducote (10% to 25%), Benjamin Lau (10% to 25%), Ducote Family Trust Dated 8/28/2001 (10% to 25%), Ducote Family Trust Dated (10% to 25%), the Kong Trust Dated 8-17- 1998 (50% to 75%), the Kong Trust Dated 8-17- (50% to 75%), Lau Family Trust Dated 8/2/13 (10% to 25%), Lau Family Trust Dated (10% to 25%), James Ducote (10% to 25%), Lea Kong (50% to 75%), Wendy Lau (10% to 25%), Landon Yoshida (5% to 10%), Erica Yoshida (5% to 10%) and Yoshida Family Trust (5% to 10%).
Source: Form ADV Part 1A, Schedules A and B, filed 10 July 2026
How does Apriem Advisors get paid?
Apriem Advisors is paid through a percentage of assets under management, fixed fees and performance-based fees. Its Form ADV lists no commissions among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
Is Apriem Advisors registered with the SEC?
Yes, Apriem Advisors has been registered with the SEC as an investment adviser since 20 March 1998. Its CRD number is 108188 and its SEC file number is 801-55371.
Source: Form ADV Part 1A, Item 1, filed 10 July 2026; IAPD firm record
How do I contact Apriem Advisors?
Apriem Advisors’ main office is at 19200 Von Karman Avenue, Suite 1050, Irvine, CA 92612. Its phone number is 949-253-8888. Its website is apriem.com.