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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)23 years in industry

JAMES MIN YOO

Advisor at TEAM ELEVATED ASSET MANAGEMENT

THOUSAND OAKS, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: May 12, 2003 to Sep 14, 2026

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

Current firm: TEAM ELEVATED ASSET MANAGEMENT
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 1, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66
First exam: May 9, 2003
First registration: May 12, 2003
Dual registered: yes, broker-dealer
IAPD individual key: 4640401

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
TEAM ELEVATED ASSET MANAGEMENT	State registered	Jan 5, 2023	n/a	yes	THOUSAND OAKS, CA	Current employment
GNH ASSET MANAGEMENT, INC.	n/a	Jul 23, 2015	Oct 24, 2023	no	THOUSAND OAKS, CA	Previous registration
M3 ASSET MANAGEMENT, INC.	Former SEC adviser	Jan 3, 2014	Jun 2, 2015	no	PASADENA, CA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 8, 2011	Jan 16, 2014	no	LOS ANGELES, CA	Previous registration
CETERA INVESTMENT SERVICES LLC	Former SEC adviser	Feb 21, 2008	Mar 21, 2011	no	LOS ANGELES, CA\|GARDEN GROVE, CA\|IRVINE, CA\|LA CRESCENTA, CA\|LOS ANGELES, CA\|LOS ANGELES, CA\|LOS ANGELES, CA\|LOS ANGELES, CA	Previous registration
OSAIC FS, INC.	Former SEC adviser	Aug 3, 2007	Feb 26, 2008	no	FAIR OAKS RANCH, CA\|LOS ANGELES, CA	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	May 12, 2003	Jun 8, 2006	no	LOS ANGELES, CA\|LOS ANGELES, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
GNH ASSET MANAGEMENT, INC.	TEAM ELEVATED ASSET MANAGEMENT	Oct 24, 2023	Jan 5, 2023	-292	Firm change after gap	Other
M3 ASSET MANAGEMENT, INC.	GNH ASSET MANAGEMENT, INC.	Jun 2, 2015	Jul 23, 2015	51	Firm change	Other
MORGAN STANLEY	M3 ASSET MANAGEMENT, INC.	Jan 16, 2014	Jan 3, 2014	-13	Firm change	Wirehouse to new firm
CETERA INVESTMENT SERVICES LLC	MORGAN STANLEY	Mar 21, 2011	Jun 8, 2011	79	Firm change	Other
OSAIC FS, INC.	CETERA INVESTMENT SERVICES LLC	Feb 26, 2008	Feb 21, 2008	-5	Firm change	Other
EQUITABLE ADVISORS, LLC	OSAIC FS, INC.	Jun 8, 2006	Aug 3, 2007	421	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
188517:321979:CA:2023-10-24	Oct 24, 2023	Jan 5, 2023	THOUSAND OAKS, CA	Firm change after gap
169461:188517:CA:2015-06-02	Jun 2, 2015	Jul 23, 2015	PASADENA, CA	Firm change

Relationships

Registered with (7)

→ TEAM ELEVATED ASSET MANAGEMENTRegistered adviserregistration: current employment
Jan 5, 2023 to presentfactForm ADV
→ GNH ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Jul 23, 2015 to Oct 24, 2023factForm ADV
→ M3 ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Jan 3, 2014 to Jun 2, 2015factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 8, 2011 to Jan 16, 2014factForm ADV
→ CETERA INVESTMENT SERVICES LLCRegistered adviserregistration: previous registration
Feb 21, 2008 to Mar 21, 2011factForm ADV
→ OSAIC FS, INC.Registered adviserregistration: previous registration
Aug 3, 2007 to Feb 26, 2008factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
May 12, 2003 to Jun 8, 2006factForm ADV

Dated events

Occurred
Oct 24, 2023
Advisor changed firm
James Min Yoo left Gnh Asset Management, Inc. for Team Elevated Asset Management (registered 2023-01-05)
Form ADVobserved 6 days ago