{"url":"https://nivawealth.com/firms/yim-investment-management-136984","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/136984","regulatoryAum":307843396,"crd":"136984","history":[{"filedOn":"2021-03-09","regulatoryAum":256912413,"clients":649,"employees":5,"offices":1},{"filedOn":"2022-04-21","regulatoryAum":253236006,"clients":649,"employees":5,"offices":1},{"filedOn":"2023-02-06","regulatoryAum":182288971,"clients":631,"employees":3,"offices":1},{"filedOn":"2024-03-26","regulatoryAum":241801165,"clients":475,"employees":6,"offices":1},{"filedOn":"2025-03-26","regulatoryAum":248020449,"clients":492,"employees":5,"offices":1},{"filedOn":"2026-03-25","regulatoryAum":307843396,"clients":523,"employees":7,"offices":1}],"secFileNumber":"801-64818","legalName":"Yim Investment Management, LLC","displayName":"Yim Investment Management","slug":"yim-investment-management-136984","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Hawaii limited liability company","fiscalYearEnd":"December","headquarters":{"street":"1950 Young Street Suite 288","city":"Honolulu","state":"HI","stateName":"Hawaii","country":"United States","postalCode":"96826-2150"},"tradeNames":[],"registration":{"secApproved":"1 December 2005","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":588610.6998087954,"staff":{"employees":7,"advisory":1,"brokerDealerReps":2,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":307843396,"discretionary":286130411,"discretionaryAccounts":1561,"nonDiscretionary":21712985,"nonDiscretionaryAccounts":34,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":418,"regulatoryAum":125215748},{"label":"High-net-worth individuals","clients":105,"regulatoryAum":182627648}],"feePrograms":[{"role":"main","program":"Investment Management Standard Fee Schedule","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1026602","versionId":1026602,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-03-25","documentName":"ADV PT 2A & 2B - AMENDED 03/23/2026","fee_rate_low":1.4,"fee_rate_high":1.4,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial Planning and Other Services","summary":"Financial planning and other services are billed hourly at up to $500 per hour, due at the time of service.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1026602","versionId":1026602,"submittedOn":"2026-03-25","documentName":"ADV PT 2A & 2B - AMENDED 03/23/2026"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T13:20:01.174498+00:00","documents":[{"name":"ADV PT 2A & 2B - AMENDED 03/23/2026","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1026602","versionId":1026602,"submittedOn":"2026-03-25"}]},"custodians":[],"custodyNote":"Yim Investment Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Kaide Liu","title":"Chief Compliance Officer (CCO)","crd":"7661985"},{"name":"Susie Ing","title":"Marketing Manager","crd":"1179535"},{"name":"Mario Yim","title":"Managing Member & Chief Investment Officer","crd":"2565839"}],"ownership":[{"label":"Mario Yim","detail":"Managing member & chief investment officer in the 50% to 75% ownership band and a control person, since November 2005."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Hawaii","offices":1,"addresses":[{"street":"1950 Young Street Suite 288","city":"Honolulu","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"808-955-8800","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Commissions"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Publication of periodicals or newsletters","Educational seminars/workshops"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":98},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"25 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/136984/PDF/136984.pdf","brochureDate":"25 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1026602","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Yim Investment Management have?","answer":"Yim Investment Management has 523 clients and manages $308 million for them, as of March 2026. They include 418 individual clients and 105 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 25 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Yim Investment Management offer?","answer":"Yim Investment Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, publishing newsletters, and educational seminars.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Yim Investment Management charge?","answer":"Yim Investment Management charges 1.40% a year for its Investment Management Standard Fee Schedule. The fee is billed in arrears and is negotiable.","source":"ADV PT 2A & 2B - AMENDED 03/23/2026, filed 25 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"How many financial advisors does Yim Investment Management have?","answer":"Yim Investment Management has 1 investment adviser representative registered with state securities authorities, out of 7 employees, and 1 perform investment advisory functions. 2 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Yim Investment Management invest in?","answer":"At the end of its last fiscal year, Yim Investment Management’s separately managed accounts held 98% exchange-traded equities and 2% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Yim Investment Management?","answer":"Yim Investment Management’s direct owner is Mario Yim (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 25 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Yim Investment Management get paid?","answer":"Yim Investment Management is paid through a percentage of assets under management and commissions. Its Form ADV lists no 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Yim Investment Management?","answer":"Yim Investment Management’s main office is at 1950 Young Street Suite 288, Honolulu, HI 96826-2150. Its phone number is 808-955-8800.","source":"Form ADV Part 1A, Item 1.F, filed 25 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}