Roehl & Yi Investment Advisors provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, selecting other managers, education planning, estate planning, insurance, and philanthropic planning. Financial planning was provided to 1–10 clients last fiscal year.
Roehl & Yi Investment Advisors reports 500 clients. They include 285 individual clients, 175 high-net-worth individuals, and 20 corporations and other businesses. Of its assets, 99.4% ($953M across 1,677 accounts) are managed with discretion; $6.13M across 6 accounts are not. A wrap fee program the firm both sponsors and manages holds $953M.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 57% | 13% |
| High-net-worth individuals | 35% | 81% |
| Pension and profit-sharing plans | 2% | <1% |
| Charitable organizations | 2% | 2% |
| Corporations and other businesses | 4% | 4% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 285 | $122M | 12.7% | $428K |
| High-net-worth individuals | 175 | $772M | 80.5% | $4.41M |
| Pension and profit-sharing plans | 12 | $9.48M | 1.0% | $790K |
| Charitable organizations | 8 | $16.8M | 1.7% | $2.1M |
| Corporations and other businesses | 20 | $38.8M | 4.0% | $1.94M |
| Total | 500 | $959M | 100% | $1.92M |
- Clients
- 285
- Regulatory AUM
- $122M
- AUM share
- 12.7%
- Avg. per client
- $428K
- Clients
- 175
- Regulatory AUM
- $772M
- AUM share
- 80.5%
- Avg. per client
- $4.41M
- Clients
- 12
- Regulatory AUM
- $9.48M
- AUM share
- 1.0%
- Avg. per client
- $790K
- Clients
- 8
- Regulatory AUM
- $16.8M
- AUM share
- 1.7%
- Avg. per client
- $2.1M
- Clients
- 20
- Regulatory AUM
- $38.8M
- AUM share
- 4.0%
- Avg. per client
- $1.94M
Total
- Clients
- 500
- Regulatory AUM
- $959M
- AUM share
- 100%
- Avg. per client
- $1.92M
- 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
- 1–10
Roehl & Yi Investment Advisors charges 0.10%–0.95% a year for its Roehl & Yi Wrap Fee Program. The fee is billed in advance. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Financial planning and consulting
- Financial planning and consulting is a negotiable hourly fee of up to $295, or a fixed fee of up to $25,000; recurring services are billed quarterly in advance.
Jayman Yi owns 50% to 75% of Roehl & Yi Investment Advisors. Thomas Roehl is CEO; the leadership team includes Chief Investment Officer Jayman Yi and Chief Operating Officer Andrew College. It has 16 employees, 10 of them in advisory roles.
Leadership
Thomas RoehlMember, Chief Compliance Officer, and Chief Executive Officer
Jayman YiMember, Chief Financial Officer, and Chief Investment Officer- Andrew CollegeChief Operating Officer
- Sarah MellgrenMember
Zachary DaegesMember
Investment adviser representatives
10 representatives listed in the SEC register as of 9 October 2026.
Staff
- 16 employees
- 10 in advisory functions
- 10 state-registered reps
- 5 insurance agents
- Owns 50% to 75% of Roehl & Yi Investment Advisors, LLC
Jayman Yi
Control person · since November 2022
- Owns 25% to 50% of Roehl & Yi Investment Advisors, LLC
Thomas Roehl
Control person · since September 1998
- Owns 5% to 10% of Roehl & Yi Investment Advisors, LLC
Andrew College
Control person · since November 2022
- Owns 5% to 10% of Roehl & Yi Investment Advisors, LLC
Sarah Mellgren
since January 2023
- Owns 5% to 10% of Roehl & Yi Investment Advisors, LLC
Zachary Daeges
since January 2023
Roehl & Yi Investment Advisors’ regulatory assets grew 1.9× from $494M (March 2021) to $959M (March 2026); clients were 500 in both filings and employees rose from 14 to 16.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $959M | 500 | 16 | 4 |
| May 2025 | $858M | 478 | 17 | 4 |
| March 2024 | $810M | 478 | 16 | 3 |
| May 2023 | $699M | 1,545 | 16 | 1 |
| June 2022 | $747M | 506 | 16 | 1 |
| March 2021 | $494M | 490 | 14 | 1 |
Besides its headquarters, Roehl & Yi Investment Advisors has 3 offices (3 private residences, listed without an address), with 1 listed address in Oregon.
Oregon · 1 listed address
- 450 Country Club Road, Suite 200, EugeneHQ
Contact and registration details
- Legal name
- Roehl & Yi Investment Advisors, LLC
- Headquarters
- 450 Country Club Road, Suite 200, Eugene, OR 97401
- Website
- roehl-yi.com
- Phone
- 541-683-2085
- SEC file
- 801-56145
- Founded
- 1998
- Structure
- Oregon LLC
- Fiscal year end
- December
Roehl & Yi Investment Advisors uses Charles Schwab ($82.4M, 55%) and Pershing ($67.7M, 45%) as custodians for its separately managed accounts. Roehl & Yi Investment Advisors does not have custody of client assets.
- PershingPershing LLC · Jersey City, NJ · $67.7M45%
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $82.4M55%
At year end, Roehl & Yi Investment Advisors’ separately managed accounts were mostly in funds (61%) and stocks (20%). Its reported 13F holdings for the quarter ended 30 June 2026 total $304M across 194 positions; the largest are Pimco ETF TR (7.3%), Apple Inc. (5.2%) and Vanguard Index Fds (5.2%).
What the accounts hold
- Stocks20%
- Exchange-traded equities19%
- Non-exchange-traded equities1%
- Funds61%
- Registered funds59%
- Pooled vehicles2%
- Bonds9%
- State and local bonds6%
- U.S. government and agency bonds3%
- Cash10%
Reported 13F holdings
- $304M
- Reported 13F value
- 194
- Positions
- 39.1%
- In the 10 largest
- +14.1%
- Value vs. prior quarter
- Pimco ETF TR · Enhan Shrt MA AC7.3%
- Apple Inc.5.2%
- Vanguard Index Fds · S&P 500 ETF Shs5.2%
- Vanguard Instl Index FD · 0 3 MO TR BI ETF4.2%
- Vanguard Malvern Fds · Core-plus BD ETF3.6%
- Berkshire Hathaway Inc. Del · CL B New3.6%
- iShares Gold TR · iShares New3.2%
- Flexshares TR · Mornstar Upstr2.9%
- Western Digital Corp.2.0%
- iShares TR · Core S&P Scp ETF2.0%
Together, the ten largest are 39.1% of reported value.
How many clients does Roehl & Yi Investment Advisors have?
Roehl & Yi Investment Advisors has 500 clients and manages $959 million for them, as of March 2026. They include 285 individual clients, 175 high-net-worth individuals, and 20 corporations and other businesses.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 20 March 2026
What services does Roehl & Yi Investment Advisors offer?
Roehl & Yi Investment Advisors provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, selecting other managers, education planning, 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 Roehl & Yi Investment Advisors charge?
Roehl & Yi Investment Advisors charges 0.10%–0.95% a year for its Roehl & Yi Wrap Fee Program. The fee is billed in advance.
Which custodians does Roehl & Yi Investment Advisors use?
Roehl & Yi Investment Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $82.4M and Pershing LLC (Jersey City, NJ), with $67.7M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 20 March 2026
How many financial advisors does Roehl & Yi Investment Advisors have?
Roehl & Yi Investment Advisors has 10 investment adviser representatives registered with state securities authorities, out of 16 employees, and 10 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 5 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 Roehl & Yi Investment Advisors invest in?
At the end of its last fiscal year, Roehl & Yi Investment Advisors’ separately managed accounts held 59% registered funds (mutual funds, ETFs, BDCs), 19% exchange-traded equities, 10% cash and equivalents, 6% state and local bonds, 3% U.S. government and agency bonds, 2% pooled vehicles (private funds and similar) and 1% non-exchange-traded equities.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Roehl & Yi Investment Advisors?
Roehl & Yi Investment Advisors’ direct owners are Thomas Roehl (25% to 50%), Jayman Yi (50% to 75%), Andrew College (5% to 10%), Sarah Mellgren (5% to 10%) and Zachary Daeges (5% to 10%).
Source: Form ADV Part 1A, Schedules A and B, filed 20 March 2026
How does Roehl & Yi Investment Advisors get paid?
Roehl & Yi Investment Advisors is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Roehl & Yi Investment Advisors?
Roehl & Yi Investment Advisors’ main office is at 450 Country Club Road, Suite 200, Eugene, OR 97401. Its phone number is 541-683-2085. Its website is roehl-yi.com.