DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
A••••• A•••••••
Latest filing Jul 10, 2026
First filing on the tape Mar 30, 2012 · 40 filings
SEC status approved since Mar 20, 1998
RAUM
$1.5B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
92%
$1.4B individuals and HNW
Advisors
13
registered through the firm on IAPD
RAUM per advisor
$114M
derived; firm RAUM over IAPD count
Employees
17
14 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$1.5B as of Jul 10, 2026
Mar 30, 2012$357M then
HNW client RAUM$1.0B as of Jul 10, 2026
Mar 26, 2018$420M then
State-registered IARs (5.B.3)13 as of Jul 10, 2026
Feb 27, 20137 then
Employees (5.A)17 as of Jul 10, 2026
Feb 27, 20139 then
Private funds: no history
RAUM +21% over the last fiscal year+20% a year over threeIARs 12 to 13offices 2 to 0
Practice profile
derived from the filing of Jul 10, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $114MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 82derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $515,537derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 7.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 13.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +8.3%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +10%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Custody
- $527M, 495 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.0B70%
- Individuals$320M22%
- Charitable organizations$88.3M6.0%
- Pension and profit-sharing plans$26.0M1.8%
- Corporations and businesses$5.6M0.4%
- Individual clients
- 715reported
- HNW clients
- 345reported
- Pension plan clients
- 1reported
- Charitable clients
- 9reported
- Accounts
- 2,878reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $527M for 495 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
13 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• K•••• I•••••• | Irvine, Ca | Apr 15, 1998 | 37 y | 0 |
| R••••• L••••• D••••• | Irvine, Ca | Nov 14, 2000 | 29 y | 0 |
| B••••••• C•••••••• L••Chartered Financial Analyst | Irvine, Ca | Nov 26, 2002 | 27 y | 0 |
| H••••• A•••• K•••Certified Financial Planner | Irvine, Ca | Oct 17, 2003 | 36 y | 0 |
| L••••• M••••• Y•••••• | Irvine, Ca | Jul 7, 2011 | 21 y | 1 |
| J••••••• N•••• O••••Certified Financial Planner, Chartered Financial Analyst | Irvine, Ca | Aug 13, 2015 | 19 y | 0 |
| C••••••••• A••• W•••••••Certified Financial Planner | Irvine, Ca | Dec 12, 2017 | 11 y | 0 |
| J••••• J•••• U•••••• G••••••Chartered Financial Consultant | Irvine, Ca | Dec 18, 2018 | 17 y | 0 |
| M•••• E•••••••• S•••••Certified Financial Planner | Irvine, Ca | Dec 20, 2021 | 11 y | 0 |
| J••••••••• V••••• R••••• | Irvine, Ca | Jan 6, 2022 | 12 y | 0 |
| C••• N•••• D••••• | Irvine, Ca | Dec 18, 2023 | 10 y | 0 |
| K••• C•••••••• K••• | Irvine, Ca | Sep 16, 2024 | 12 y | 0 |
| K•••••• L•••• W•••• | Irvine, Ca | Sep 26, 2025 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- A••••• M••••• O•••• to R••••••• C• I••Nov 11, 2024 · RIA to RIA
- S•••• D•••• A•••• to I•••• F••• A•••••••• I•••Aug 1, 2024 · RIA to RIA
- L•••• T••••• D••••• to D••••• F•••••••• A••••••• L••Oct 15, 2019 · RIA to a state-registered adviser
- W•••••• N••••••• P••• to V••• C••••••••• L••Jun 3, 2019 · RIA to a state-registered adviser
- S•••• L•••• N••••••• to C•••• C•••••• M••••••••• I••Feb 5, 2015 · Other
- M••••• A•••••• J••••••••• to C•••••• M•••••• I•• L••Apr 28, 2011 · Other
- A•• S•••• Q•••• to G•••••• S•••• W••••• S•••••••• L•••Dec 6, 2005 · Other
- A••• O••• L• to A••••• W••••• M•••••••••May 19, 2005 · Other
Joined, latest
- L•••• T••••• D••••• from S•••••••• A••••••• L••May 14, 2018 · Affiliated broker-dealer or bank to independent RIA
- W•••••• N••••••• P••• from C•••••• S••••• • C••• I•••Jun 4, 2014 · Other
- S•••• L•••• N••••••• from P••• C••••••• I•••May 3, 2012 · Other
- L••••• M••••• Y•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 7, 2011 · Other
- M••••• A•••••• J••••••••• from F••••• A•••• M••••••••• L••Jul 10, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• R•••••• L••••• · President, Chief Compliance Officer, Senior Wealth Manager, Director, Trustee Of Ducote Family Trustcontrolsince 01/2010 · owns 10% to 25%
- K•••• H•••••• A•••• · Secretary, Cfo, Treasurer, Chief Wealth Manager, Director, Trustee Of Kong Trustcontrolsince 01/1998 · owns 50% to 75%
- L••• B•••••••• C•••••••• · Vice President, Chief Investment Officer, Director, Trustee Of Lau Family Trustcontrolsince 01/2010 · owns 10% to 25%
- O••••• J•••••••• N•••• · Chief Financial Officercontrolsince 01/2025 · owns less than 5%
- W•••••••• C••••••••• · Chief Wealth Managercontrolsince 01/2025 · owns less than 5%
- D•••••• J••••• N•••• · Trustee Of Ducote Family Trustsince 08/2001 · owns 10% to 25%
- K•••• L••• T•••••• · Trustee Of Kong Trustsince 08/1998 · owns 50% to 75%
- L••• W••••• Y•••• · Trustee Of Lau Family Trustsince 08/2013 · owns 10% to 25%
- L•• T•••• T•••• · Trustee Of Truc Trong Le Trustsince 01/2000 · owns 5% to 10%
- Y••••••• E••••• M••••• · Trustee Of Yoshida Family Trustsince 01/2017 · owns 5% to 10%
- Y••••••• L•••••• M••••• · Trustee Of Yoshida Family Trustsince 01/2017 · owns 5% to 10%
Entity owners
- D••••• F••••• T•••• D•••• 8•••••••• · Shareholderdirect · owns 10% to 25%
- L•• F••••• T•••• D•••• 8••••• · Shareholderdirect · owns 10% to 25%
- T•• K••• T•••• D•••• 8•••••••• · Shareholderdirect · owns 50% to 75%
- T••• T•••• L• T•••• D•••• 1•••••••• · Shareholderdirect · owns 5% to 10%
- Y•••••• F••••• T•••• · Shareholderdirect · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Irvine, Ca · principal | 13 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Torrance, CA2 employees
- San Diego, CA1 employees
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 10, 2026OLSON, JENNIFER, NECIR (CHIEF FINANCIAL OFFICER) appeared on Schedule A between the filings of 2018-03-26 and 2026-07-10peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jul 10, 2026WHITAKER, CHRISTOPHER, (CHIEF WEALTH MANAGER) appeared on Schedule A between the filings of 2018-03-26 and 2026-07-10peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 2,880 to 2,878Mar 31, 2026 to Jul 10, 2026
- HNW clients · 346 to 345Mar 31, 2026 to Jul 10, 2026
- Individual clients · 716 to 715Mar 31, 2026 to Jul 10, 2026
- Other offices · 2 to 0Mar 31, 2026 to Jul 10, 2026
- Discretionary RAUM · $1.5B to $1.5BMar 31, 2026 to Jul 10, 2026
- HNW RAUM · $1.0B to $1.0BMar 31, 2026 to Jul 10, 2026
- Individual RAUM · $321M to $320MMar 31, 2026 to Jul 10, 2026
- RAUM · $1.5B to $1.5BMar 31, 2026 to Jul 10, 2026
- Accounts · 2,597 to 2,880Mar 26, 2025 to Mar 31, 2026
- Charity clients · 5 to 9Mar 26, 2025 to Mar 31, 2026
- Corporate clients · unset to 1.0Mar 26, 2025 to Mar 31, 2026
- HNW clients · 299 to 346Mar 26, 2025 to Mar 31, 2026
- Individual clients · 663 to 716Mar 26, 2025 to Mar 31, 2026
- Pension plan clients · unset to 1.0Mar 26, 2025 to Mar 31, 2026
- Assets in custody · $397M to $527MMar 26, 2025 to Mar 31, 2026
- State-registered IARs · 12 to 13Mar 26, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.2B to $1.5BMar 26, 2025 to Mar 31, 2026
- HNW RAUM · $867M to $1.0BMar 26, 2025 to Mar 31, 2026
- Individual RAUM · $267M to $321MMar 26, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $11.8M to $22.9MMar 26, 2025 to Mar 31, 2026
- Pension RAUM · $23.5M to $26.0MMar 26, 2025 to Mar 31, 2026
- RAUM · $1.2B to $1.5BMar 26, 2025 to Mar 31, 2026
- Accounts · 2,467 to 2,597Mar 5, 2024 to Mar 26, 2025
- Advisory activities · 5 to 6Mar 5, 2024 to Mar 26, 2025
- HNW clients · 286 to 299Mar 5, 2024 to Mar 26, 2025
- Individual clients · 560 to 663Mar 5, 2024 to Mar 26, 2025
- Assets in custody · $413M to $397MMar 5, 2024 to Mar 26, 2025
- Employees · 16 to 17Mar 5, 2024 to Mar 26, 2025
- Financial planning clients · 251-500 to 251-500Mar 5, 2024 to Mar 26, 2025
- State-registered IARs · 13 to 12Mar 5, 2024 to Mar 26, 2025
- Other offices · 3 to 2Mar 5, 2024 to Mar 26, 2025
- Discretionary RAUM · $1.0B to $1.2BMar 5, 2024 to Mar 26, 2025
- HNW RAUM · $736M to $867MMar 5, 2024 to Mar 26, 2025
- Individual RAUM · $223M to $267MMar 5, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $8.9M to $11.8MMar 5, 2024 to Mar 26, 2025
- Pension RAUM · $21.8M to $23.5MMar 5, 2024 to Mar 26, 2025
- RAUM · $1.0B to $1.2BMar 5, 2024 to Mar 26, 2025
- Accounts · 2,332 to 2,467Nov 2, 2023 to Mar 5, 2024
- HNW clients · 232 to 286Nov 2, 2023 to Mar 5, 2024
- Individual clients · 554 to 560Nov 2, 2023 to Mar 5, 2024
Signals
3 dated events
- Andrew Martin Ochoa left Apriem Advisors for Randolph Co Inc (registered 2024-12-13)Nov 11, 2024 · Advisor changed firm · fact
- Sunni Danae Allen left Apriem Advisors for Index Fund Advisors, Inc. (registered 2024-09-25)Aug 1, 2024 · Advisor changed firm · fact
- Apriem Advisors reported RAUM $648.7M, up 26% from $513.8M (2017-09-29 to 2018-03-26)Mar 26, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/APRIEMADVISORSreportedpublic record, Form ADV, Sep 18, 2026
- Website
- APRIEM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (949) 253-8888reportedpublic record, Form ADV, Jul 10, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $114Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026