Apriem Advisors
- Regulatory AUM
- $1.5B
- Discretionary
- $1.5B
- Clients
- 1,071
- Avg AUM / client
- $1.4M
- Accounts
- 2,878
- Employees
- 17
AUM over time
Annual snapshots from Form ADV filings · as of Jul 10, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 715 | $320M | 21.6% |
| High net worth individuals | 345 | $1.0B | 70.4% |
| Pension and profit sharing plans | 1 | $26.0M | 1.75% |
| Charitable organizations | 9 | $88.3M | 5.95% |
| Corporations and other businesses | 1 | $5.6M | 0.38% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Scpmg Keogh Plan Southern California Permanente Medical Group | 2024 | |
| Schwabplan Retirement Savings And Investment Plan The Charles Schwab Corporation | 2024 |
People (18)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Harmon Anson Kong | Secretary, Cfo, Treasurer, Chief Wealth Manager, Director, Trustee Of Kong Trust | CFP | Jan 1998 (29y) | 50% – 75% |
| Kong, Lea, Theresa | Trustee Of Kong Trust | Aug 1998 (28y) | 50% – 75% | |
| Le, Truc, Trong | Trustee Of Truc Trong Le Trust | Jan 2000 (27y) | 5% – 10% | |
| Rhonda Louise Ducote | President, Chief Compliance Officer, Senior Wealth Manager, Director, Trustee Of Ducote Family Trust | Nov 2000 (26y) | 10% – 25% | |
| Ducote, James, Nolan | Trustee Of Ducote Family Trust | Aug 2001 (25y) | 10% – 25% | |
| Benjamin Chiu Fung Lau | Vice President, Chief Investment Officer, Director, Trustee Of Lau Family Trust | CFA | Nov 2002 (24y) | 10% – 25% |
| Landon Makoto Yoshida | Trustee Of Yoshida Family Trust | Jul 2011 (15y) | 5% – 10% | |
| Lau, Wendy, Youme | Trustee Of Lau Family Trust | Aug 2013 (13y) | 10% – 25% | |
| Yoshida, Erica, Miyeko | Trustee Of Yoshida Family Trust | Jan 2017 (10y) | 5% – 10% | |
| Mark Keizo Iwamoto | Registered representative | Apr 1998 (28y) | ||
| Jennifer Necir Olson | Registered representative | CFP CFA | Aug 2015 (11y) | |
| Christopher Alan Whitaker | Registered representative | CFP | Dec 2017 (9y) | |
| Joshua James Umberto Garland | Registered representative | Chartered Financial Consultant | Dec 2018 (8y) | |
| Megan Elizabeth Schwab | Registered representative | CFP | Dec 2021 (5y) | |
| Josealfredo Vargas Rendon | Registered representative | Jan 2022 (5y) | ||
| Cole Nolan Ducote | Registered representative | Dec 2023 (3y) | ||
| Kyle Christian Kong | Registered representative | Sep 2024 (2y) | ||
| Kenneth Lloyd Wolin | Registered representative | Sep 2025 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| The Kong Trust Dated 8 17 1998 | Shareholder | Jan 1998 | A | 50% – 75% |
| Ducote Family Trust Dated 8/28/2001 | Shareholder | Jan 2010 | A | 10% – 25% |
| Lau Family Trust Dated 8/2/13 | Shareholder | Jan 2010 | A | 10% – 25% |
| Truc Trong Le Trust Dated 11/5/1998 | Shareholder | Jan 2000 | A | 5% – 10% |
| Yoshida Family Trust | Shareholder | Jan 2017 | A | 5% – 10% |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (2)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Scpmg Keogh Plan | Southern California Permanente Medical Group | 11,088 | $7.9B | 01/01/2024 |
| Schwabplan Retirement Savings And Investment Plan | The Charles Schwab Corporation | 32,145 | $8.9B | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/10/2026 | 1.06 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
- • Performance-based fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
- • Publication of periodicals or newsletters
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $1.5B (99% of AUM) Jul 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 10, 2026.
View current Form ADV (SEC/IAPD) ↗