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CRD 108188
IRVINE, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| MARK KEIZO IWAMOTO | n/a | IRVINE, CA | 28 | 37 | n/a | no |
| RHONDA LOUISE DUCOTE | n/a | IRVINE, CA | 25 | 29 | n/a | no |
| BENJAMIN CHIU-FUNG LAU | Chartered Financial Analyst | IRVINE, CA | 23 | 27 | n/a | no |
| HARMON ANSON KONG | Certified Financial Planner | IRVINE, CA | 22 | 36 | n/a | no |
| LANDON MAKOTO YOSHIDA | n/a | IRVINE, CA | 15 | 21 | 1 | no |
| JENNIFER NECIR OLSON | Certified Financial Planner|Chartered Financial Analyst | IRVINE, CA | 11 | 19 | n/a | no |
| CHRISTOPHER ALAN WHITAKER | Certified Financial Planner | IRVINE, CA | 8 | 11 | n/a | no |
| Joshua James Umberto Garland | Chartered Financial Consultant | IRVINE, CA | 7 | 17 | n/a | no |
| Megan Elizabeth Schwab | Certified Financial Planner | IRVINE, CA | 4 | 11 | n/a | no |
| Josealfredo Vargas Rendon | n/a | IRVINE, CA | 4 | 12 | n/a | no |
| Cole Nolan Ducote | n/a | IRVINE, CA | 2 | 10 | n/a | no |
| Kyle Christian Kong | n/a | IRVINE, CA | 2 | 12 | n/a | no |
| Kenneth Lloyd Wolin | n/a | IRVINE, CA | 0 | 10 | n/a | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| DUCOTE, RHONDA, LOUISE | PRESIDENT, CHIEF COMPLIANCE OFFICER, SENIOR WEALTH MANAGER, DIRECTOR, TRUSTEE OF DUCOTE FAMILY TRUST | B | yes | 01/2010 | Jul 10, 2026 | Jul 10, 2026 |
| KONG, HARMON, ANSON | SECRETARY, CFO, TREASURER, CHIEF WEALTH MANAGER, DIRECTOR, TRUSTEE OF KONG TRUST | D | yes | 01/1998 | Jul 10, 2026 | Jul 10, 2026 |
| LAU, BENJAMIN, CHIU-FUNG | VICE PRESIDENT, CHIEF INVESTMENT OFFICER, DIRECTOR, TRUSTEE OF LAU FAMILY TRUST | B | yes | 01/2010 | Jul 10, 2026 | Jul 10, 2026 |
| OLSON, JENNIFER, NECIR | CHIEF FINANCIAL OFFICER | Na | yes | 01/2025 | Jul 10, 2026 | Jul 10, 2026 |
| WHITAKER, CHRISTOPHER, | CHIEF WEALTH MANAGER | Na | yes | 01/2025 | Jul 10, 2026 | Jul 10, 2026 |
| DUCOTE FAMILY TRUST DATED 8/28/2001 | Shareholder | B | yes | 01/2010 | Jul 20, 2016 | Mar 5, 2024 |
| LAU FAMILY TRUST DATED 8/2/13 | Shareholder | B | yes | 01/2010 | Jul 20, 2016 | Mar 5, 2024 |
| THE KONG TRUST DATED 8-17-1998 | Shareholder | D | yes | 01/1998 | Jul 20, 2016 | Mar 5, 2024 |
| DUCOTE, JAMES, NOLAN | TRUSTEE OF DUCOTE FAMILY TRUST | B | no | 08/2001 | Jul 10, 2026 | Jul 10, 2026 |
| KONG, LEA, THERESA | TRUSTEE OF KONG TRUST | D | no | 08/1998 | Jul 10, 2026 | Jul 10, 2026 |
| LAU, WENDY, YOUME | TRUSTEE OF LAU FAMILY TRUST | B | no | 08/2013 | Jul 10, 2026 | Jul 10, 2026 |
| YOSHIDA, ERICA, MIYEKO | TRUSTEE OF YOSHIDA FAMILY TRUST | A | no | 01/2017 | Jul 10, 2026 | Jul 10, 2026 |
| YOSHIDA, LANDON, MAKOTO | TRUSTEE OF YOSHIDA FAMILY TRUST | A | no | 01/2017 | Jul 10, 2026 | Jul 10, 2026 |
| LE, TRUC, TRONG | TRUSTEE OF TRUC TRONG LE TRUST | A | no | 01/2000 | Mar 30, 2012 | Mar 5, 2024 |
| TRUC TRONG LE TRUST DATED 11/5/1998 | Shareholder | A | no | 01/2000 | Jul 20, 2016 | Mar 5, 2024 |
| YOSHIDA FAMILY TRUST | Shareholder | A | no | 01/2017 | Mar 26, 2018 | Mar 5, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Torrance | CA | United States | 2 | no |
| SAN DIEGO | CA | United States | 1 | no |
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 31, 2026 | $1.5B | $1.5B | 17 | 14 | 2 | n/a | n/a |
| 2024 | Mar 26, 2025 | $1.2B | $1.2B | 17 | 14 | 2 | n/a | n/a |
| 2023 | Mar 5, 2024 | $1.0B | $1.0B | 16 | 14 | 3 | n/a | n/a |
| 2022 | Mar 17, 2023 | $862M | $855M | 16 | 14 | 3 | n/a | n/a |
| 2021 | Mar 2, 2022 | $1.0B | $1.0B | 18 | 10 | 2 | n/a | n/a |
| 2020 | Mar 16, 2021 | $876M | $871M | 14 | 8 | 2 | n/a | n/a |
| 2019 | Mar 12, 2020 | $760M | $756M | 14 | 8 | 2 | n/a | n/a |
| 2018 | Mar 28, 2019 | $697M | $645M | 15 | 10 | 2 | n/a | n/a |
| 2017 | Mar 26, 2018 | $649M | $636M | 13 | 10 | 2 | n/a | n/a |
| 2016 | Mar 10, 2017 | $514M | $500M | 13 | 10 | n/a | n/a | n/a |
| 2015 | Mar 29, 2016 | $431M | $410M | 10 | 8 | n/a | n/a | n/a |
| 2014 | Mar 23, 2015 | $426M | $403M | 10 | 8 | n/a | n/a | n/a |
| 2013 | Mar 13, 2014 | $424M | $357M | 10 | 8 | n/a | n/a | n/a |
| 2012 | Feb 27, 2013 | $417M | $353M | 9 | 9 | n/a | n/a | n/a |
| 2011 | Mar 30, 2012 | $357M | $295M | n/a | n/a | n/a | n/a | 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 | 0 | 0.0% | 0 | 0 | 0 | 0 | 2 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.5B | $1.2B | 20.7% | $862M | 19.8% | 17 | 17 | 0 | 2 |