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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

M3 ASSET MANAGEMENT, INC.

CRD 169461

LOS ANGELES, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:693be475-0c41-6c66-036b-045197b56592

Data as of Oct 27, 2015 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Nov 20, 2013 to Oct 27, 2015
12 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $36.3MItem 5.F on the latest filing (2015-10-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $23.5M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $36.3Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 1
Advisory employees: 1
Accounts: 113
SEC number: 801-78863
CRD: 169461
Filings on the tape: 12
First filed: Nov 20, 2013
Latest filed: Oct 27, 2015
Organised: Corporation, California

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
DAVID DAEJOON KIM	n/a	PASADENA, CA	12	25	5	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
KIM, DAVID, DAEJOON	Owner	E	yes	12/2013	Jun 4, 2015	Oct 27, 2015
KIM, DAVID, DAEJOON	CHIEF EXECUTIVE OFFICER / CHIEF COMPLIANCE OFFICER	Na	yes	05/2015	Jun 4, 2015	Oct 27, 2015
M3 ASSET MANAGEMENT INCORPORATED	Owner	E	yes	12/2013	Jun 4, 2015	Oct 27, 2015

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Mar 27, 2015	$36.3M	$23.5M	5	4	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	$36.3M	n/a	n/a	n/a	n/a	1	n/a	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
GNH ASSET MANAGEMENT, INC.	3	Jun 2, 2015	Jul 23, 2015	PASADENA, CA	Firm absorbed	Other	75.0%

Relationships

Controls (2)

← KIM, DAVID, DAEJOONOwnerOWNER, ownership code E, individual
Jun 4, 2015 to presentfactForm ADV
← M3 ASSET MANAGEMENT INCORPORATEDOwnerOWNER, ownership code E, domestic entity
Jun 4, 2015 to presentfactForm ADV

Registered with (4)

← DAVID DAEJOON KIMAdvisorregistration: current employment
Jan 3, 2014 to presentfactForm ADV
← JAMES MIN YOOAdvisorregistration: previous registration
Jan 3, 2014 to Jun 2, 2015factForm ADV
← KON SONAdvisorregistration: previous registration
Jan 3, 2014 to Jun 2, 2015factForm ADV
← STEPHEN ALEXANDER GILCHRISTAdvisorregistration: previous registration
Jan 24, 2014 to Jun 2, 2015factForm ADV

Dated events

Occurred
Nov 20, 2013
First Form ADV filing
M3 Asset Management, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:693be475-0c41-6c66-036b-045197b56592
First observed: Nov 20, 2013
Last observed: Oct 27, 2015 132 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

M3 ASSET MANAGEMENT, INC.

CRD 169461

LOS ANGELES, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:693be475-0c41-6c66-036b-045197b56592

Data as of Oct 27, 2015 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:31 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

DAVID DAEJOON KIM

n/a

PASADENA, CA

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

KIM, DAVID, DAEJOON

Owner

yes

12/2013

Jun 4, 2015

Oct 27, 2015

KIM, DAVID, DAEJOON

CHIEF EXECUTIVE OFFICER / CHIEF COMPLIANCE OFFICER

yes

05/2015

Jun 4, 2015

Oct 27, 2015

M3 ASSET MANAGEMENT INCORPORATED

Owner

yes

12/2013

Jun 4, 2015

Oct 27, 2015

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Mar 27, 2015

$36.3M

$23.5M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

$36.3M

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

GNH ASSET MANAGEMENT, INC.

Jun 2, 2015

Jul 23, 2015

PASADENA, CA

Firm absorbed

Other

75.0%