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Vice President, Chief Investment Officer, Director, Trustee of LAU Family Trust · Apriem Advisors

Benjamin C. Lau

CRD 3171887 · Named on Form ADV at one SEC-registered adviser

At a glance

Apriem Advisors, an SEC-registered wealth manager based in Irvine, CA with $1.5 billion in regulatory assets, lists Benjamin C. Lau on its Form ADV as Vice President, Chief Investment Officer, Director, Trustee of LAU Family Trust, a control person.

Firms and roles

  • Apriem AdvisorsVice President, Chief Investment Officer, Director, Trustee of LAU Family TrustWealth manager · Irvine, CA · $1.5B in regulatory assets

AtlasMembers

Benjamin’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
1 firmLocked
When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings (9)

  • Harmon A. KongSecretary, CFO, Treasurer, Chief Wealth Manager, Director, Trustee of Kong Trust, Apriem Advisors
  • Rhonda L. DucotePresident, Chief Compliance Officer, Senior Wealth Manager, Director, Trustee of Ducote Family Trust, Apriem Advisors
  • James N. DucoteTrustee of Ducote Family Trust, Apriem Advisors
  • Lea T. KongTrustee of Kong Trust, Apriem Advisors
  • Wendy Y. LauTrustee of LAU Family Trust, Apriem Advisors

4 more people named with Benjamin on the same filings, with titles and firms. Free in Atlas with a free account.

See all 9 free

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Benjamin’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.