M3 Asset Management, Inc.
- Regulatory AUM
- $15.0M
- Discretionary
- $0
- Clients
- 20
- Avg AUM / client
- $750K
- Accounts
- 33
- Employees
- 1
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Feb 24, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 20 | $15.0M | 100.0% |
People (1)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| David Daejoon Kim | Chief Executive Officer / Chief Compliance Officer | Dec 2013 (13y) | ≈ 56.25% – 100% via M3 Asset Management Incorporated |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| M3 Asset Management Incorporated | Owner | Dec 2013 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- David Daejoon Kim: 75% – 100% of M3 Asset Management Incorporated × 75% – 100% direct ≈ 56.25% – 100% of the firm
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) | 02/24/2026 | 1.01 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
Services
- • Portfolio management for individuals/small businesses
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: Feb 24, 2026.
View current Form ADV (SEC/IAPD) ↗