Yim Investment Management, Llc
- Regulatory AUM
- $308M
- Discretionary
- $286M
- Clients
- 523
- Avg AUM / client
- $589K
- Accounts
- 1,595
- Employees
- 7
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 25, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 418 | $125M | 40.7% |
| High net worth individuals | 105 | $183M | 59.3% |
People (3)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Ing, Susie, Lau | Marketing Manager | Nov 2005 (21y) | Less than 5% | |
| Yim, Mario, Kai Ming | Managing Member & Chief Investment Officer | Nov 2005 (21y) | 50% – 75% | |
| Liu, Kaide | Chief Compliance Officer (Cco) | Feb 2024 (3y) | Less than 5% |
Undisclosed: 15% – 50% of the firm is not attributable from the filed Schedule A bands.
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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/25/2026 | 1.02 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: CLAIMANT ALLEGES MISREPRESENTATION; UNAUTHORIZED TRADING; UNSUITABILITY, CHURNING; FAILURE TO SUPERVISE. INCIDENT DATES: JANUARY 2000 - MARCH 2001. Status: Final Sanction Detail: REGISTRANT AND RAYMOND JAMES WERE JOINTLY LIABLE FOR THE FINE OF $44,000. THE FINE WAS PAID SHORTLY AFTER THE AWARD DATED 4.25.05. NO PORTION OF THE FINE WAS WAIVED. Summary: THE CLAIMANT IS A FORMER CLIENT OF LESS THAN ONE YEAR. THIS WAS DURING THE PERIOD OF 3/2000-2/2001 IN WHICH A WELL DOCUMENTED MARKET DOWNTURN OCCURRED. THE CLAIMANTS SOUGHT TO HOLD RAYMOND JAMES AND MR. YIM RESPONSIBLE FOR LOSSES THEY INCURRED IN THEIR SECURITIES PORTFOLIO. CLAIMANTS ASSERT IN THEIR STATEMENT OF CLAIM THAT THEY WERE INEXPERIENCED, CONSERVATIVE INVESTORS WHOSE INVESTMENT OBJECTIVES WERE FAR MORE CONSERVATIVE AND LESS RISKY THAN THE SECURITIES RECOMMENDED TO THEM BY YIM. HOWEVER, THE EVIDENCE SHOWED THAT THIS IS COMPLETELY FALSE. THE REALITY IS THAT THE PORTFOLIO OF CLAIMANTS STATED THAT THEIR PRIMARY INVESTMENT OBJECTIVE WAS LONG-TERM GROWTH, THEY HAD A HIGH-RISK TOLERANCE, THEIR TIME HORIZON WAS GREATER THAN TEN YEARS AND THAT THE ASSET ALLOCATION THAT THEY RECEIVED WAS MOST SUITABLE FOR THEM. AS SET FORTH BELOW, CLAIMANTS INVESTED THEIR MONEY WITH RESPONDENTS IN MARCH OF 2000. RATHER THAN ACCEPTING THE RESULTS THAT THE BEAR MARKET AND A DECLINING ECONOMY HAD ON THEIR INVESTMENTS, CLAIMANTS SEEK TO HAVE RESPONDENTS GUARANTEE THEIR INVESTMENTS FROM MARKET LOSS. AT THE END OF THE DAY, THIS CASE INVOLVES NOTHING MORE THAN BUYER'S REMORSE. OTHER ALLEGATIONS OF CHURNING FOR COMMISSIONS IS CLEARLY UNTRUE BASED ON THE FACT THAT THE TRADES WERE DONE IN A FEE BASED ACCOUNT WITH NO LOAD MUTUAL FUNDS. THE CLAIMANTS REQUEST DAMAGES OF $110,000 PLUS LEGAL COSTS AND ALL OTHER FEES. THIS WAS FOR HIS COMPANY PROFIT SHARING PLAN, INDIVIDUAL ACCOUNTS AND IRA ACCOUNTS. THE REDUCED JUDGMENT OF $44,000 WAS ONLY FOR THE PROFIT SHARING PLAN. ALL OTHER ALLEGATIONS FOR THE OTHER ACCOUNTS AND LEGAL, ARBITRATION AND PUNITIVE FEES BY THE CLAIMANT WAS DENIED.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Commissions
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Publication of periodicals or newsletters
- • Educational seminars/workshops
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 25, 2026.
View current Form ADV (SEC/IAPD) ↗