DFX Intelligence

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

POSITIVE DELTA ASSET MANAGEMENT LLC

CRD 134775

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:cedb08d2-6031-58a8-2b1f-4c712fc6d0c4

Data as of Jun 12, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 0
On other graphs: 0
Observed: Apr 3, 2012 to Jun 12, 2012
4 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: $20.0MItem 5.F on the latest filing (2012-06-12); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $20.0M
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: 3
RAUM per advisor: $6.7Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Accounts: 150
SEC number: 801-69722
CRD: 134775
Filings on the tape: 4
First filed: Apr 3, 2012
Latest filed: Jun 12, 2012
Organised: Limited Liability Company, 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
HAN JOO CHO	n/a	LOS ANGELES, CA	15	26	4	no
ANDI KIM	Chartered Financial Analyst	LOS ANGELES, CA	1	33	3	no
DONALD DONG YOUNG KIM	n/a	LOS ANGELES, CA	0	28	n/a	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
AK FINANCIAL HOLDINGS, INC.	Member	C	yes	11/2011	Apr 3, 2012	Jun 12, 2012
KIM, ANDI	ELECTED MANAGER, CIO	B	yes	12/2010	Apr 3, 2012	Jun 12, 2012
KIM, ANDI	CHIEF INVESTMENT OFFICER	C	yes	12/2010	Apr 3, 2012	Jun 12, 2012
KIM, DONALD, DONG YOUNG	Ceo	D	yes	12/2010	Apr 3, 2012	Jun 12, 2012
KIM, DONALD, DONG YOUNG	CEO, MEMBER	C	yes	12/2010	Apr 3, 2012	Jun 12, 2012
KIM, HARRY, HYUN WOONG	Cco	D	yes	12/2010	Apr 3, 2012	Jun 12, 2012
KIM, HARRY, HYUN WOONG	CHIEF COMPLIANCE OFFICER	C	yes	12/2010	Apr 3, 2012	Jun 12, 2012
SQK CAPITAL LLC	Member	D	yes	12/2010	Apr 3, 2012	Jun 12, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
POSITIVE DELTA ASSET MANAGEMENT LLC	n/a	Former SEC adviser	$20.0M	Y	no	n/a
HARRY KIM	n/a	n/a	n/a	Y	no	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Cupertino	CA	United States	n/a	no
LOS ANGELES	CA	United States	n/a	no

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
2011	Apr 3, 2012	$20.0M	$20.0M	n/a	n/a	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	1	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
2011	$20.0M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Registered with (5)

← DONALD DONG YOUNG KIMAdvisorregistration: current employment
Jan 1, 2026 to presentfactForm ADV
← ANDI KIMAdvisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← HAN JOO CHOAdvisorregistration: current employment
Jun 15, 2011 to presentfactForm ADV
← JENNIFER JAE YOUNG BAICKAdvisorregistration: previous registration
Apr 22, 2008 to Jul 28, 2010factForm ADV
← ERIC HYUNG KIMAdvisorregistration: previous registration
Jul 29, 2008 to Apr 1, 2009factForm ADV

Affiliated with (1)

→ POSITIVE DELTA ASSET MANAGEMENT LLCRegistered advisercontrol
factForm ADV

Controls (5)

← KIM, ANDIOwnerCHIEF INVESTMENT OFFICER, ownership code C, individual
Apr 3, 2012 to presentfactForm ADV
← KIM, DONALD, DONG YOUNGOwnerCEO, ownership code D, individual
Apr 3, 2012 to presentfactForm ADV
← KIM, HARRY, HYUN WOONGOwnerCCO, ownership code D, individual
Apr 3, 2012 to presentfactForm ADV
← AK FINANCIAL HOLDINGS, INC.OwnerMEMBER, ownership code C, domestic entity
Apr 3, 2012 to presentfactForm ADV
← SQK CAPITAL LLCOwnerMEMBER, ownership code D, domestic entity
Apr 3, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cedb08d2-6031-58a8-2b1f-4c712fc6d0c4
First observed: Apr 3, 2012
Last observed: Jun 12, 2012 173 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.

POSITIVE DELTA ASSET MANAGEMENT LLC

CRD 134775

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:cedb08d2-6031-58a8-2b1f-4c712fc6d0c4

Data as of Jun 12, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:58 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

HAN JOO CHO

n/a

LOS ANGELES, CA

ANDI KIM

Chartered Financial Analyst

LOS ANGELES, CA

DONALD DONG YOUNG KIM

n/a

LOS ANGELES, CA

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AK FINANCIAL HOLDINGS, INC.

Member

yes

11/2011

Apr 3, 2012

Jun 12, 2012

KIM, ANDI

ELECTED MANAGER, CIO

yes

12/2010

Apr 3, 2012

Jun 12, 2012

KIM, ANDI

CHIEF INVESTMENT OFFICER

yes

12/2010

Apr 3, 2012

Jun 12, 2012

KIM, DONALD, DONG YOUNG

Ceo

yes

12/2010

Apr 3, 2012

Jun 12, 2012

KIM, DONALD, DONG YOUNG

CEO, MEMBER

yes

12/2010

Apr 3, 2012

Jun 12, 2012

KIM, HARRY, HYUN WOONG

Cco

yes

12/2010

Apr 3, 2012

Jun 12, 2012

KIM, HARRY, HYUN WOONG

CHIEF COMPLIANCE OFFICER

yes

12/2010

Apr 3, 2012

Jun 12, 2012

SQK CAPITAL LLC

Member

yes

12/2010

Apr 3, 2012

Jun 12, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

POSITIVE DELTA ASSET MANAGEMENT LLC

n/a

Former SEC adviser

$20.0M

n/a

HARRY KIM

n/a

City

State

Country

Employees

Also broker-dealer

Cupertino

United States

n/a

LOS ANGELES

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Apr 3, 2012

$20.0M

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

2011

$20.0M

n/a