Wealth manager, independent · Irvine, CA
Apriem Advisors
SEC-registered investment adviser · CRD 108188 · SEC 801-55371
At a glance
Apriem Advisors is an SEC-registered investment adviser based in Irvine, California, with $1.5B in regulatory assets under management as of its Form ADV filed July 10, 2026. It reports 1,060 individual clients, 345 of them high-net-worth, holding an average of about $1.3 million each, and 17 employees. That ranks it 745th among the nation’s 5,657 independent wealth management RIAs and 90th of 714 in California. It reports Charles Schwab as the custodian for its clients’ separately managed accounts.
Down $3M from $1.5B in its previous filing; rank 744 → 745. This month’s movers →
Main office 949-253-8888apriem.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.5B
- Rank among independent wealth managers
- #745 of 5,657
- Rank among all SEC RIAs
- #4,295 of 17,210
- Rank in California
- #90 of 714
- Individual clients
- 1,060
- High-net-worth clients
- 345
- Accounts
- 2,878
- Discretionary
- 98% of AUM
- Employees
- 17
- Advisory staff
- 14
- Offices
- 1
Owners and executives on its Form ADV
- Harmon A. KongSecretary, CFO, Treasurer, Chief Wealth Manager, Director, Trustee of Kong Trust
- Rhonda L. DucotePresident, Chief Compliance Officer, Senior Wealth Manager, Director, Trustee of Ducote Family Trust
- Benjamin C. LauVice President, Chief Investment Officer, Director, Trustee of LAU Family Trust
- James N. DucoteTrustee of Ducote Family Trust
- Lea T. KongTrustee of Kong Trust
- Wendy Y. LauTrustee of LAU Family Trust
- Landon M. YoshidaTrustee of Yoshida Family Trust
- Erica M. YoshidaTrustee of Yoshida Family Trust
- Jennifer N. OlsonChief Financial Officer
- Christopher A. WhitakerChief Wealth Manager
Custody and brokerage
Broker-dealer
No broker-dealer ties
Apriem Advisors reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 345 | $1.0B | 70% |
| Individuals | 715 | $320M | 22% |
| Charitable organizations | 9 | $88M | 6% |
| Pension and profit sharing plans | 1 | $26M | 2% |
| Corporations or other businesses | 1 | $6M | <1% |
Disciplinary disclosures
Apriem Advisors reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Pension consulting
- Selecting other advisers
- Periodicals or newsletters
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Fixed fees
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗apriem.com ↗
AtlasMembers
The full record on Apriem Advisors
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 2,546 peers of its type and size
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- Owners and executives, with titles and stakes
- 10 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 2Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Similar-size RIAs in California
All of California →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Compak Asset ManagementNewport Beach | $1.5B | 1,734 |
| Salem Partners Wealth Management, LLCLOS Angeles | $1.5B | 46 |
| Quantum Financial Advisors, LLCSanta Monica | $1.5B | 451 |
| Eclectic Associates, Inc.Fullerton | $1.5B | 1,207 |
| Serenus Wealth Advisors, LLCSanta Monica | $1.5B | 141 |
| Valley Wealth Strategies, LLCLodi | $1.4B | 3,966 |
Background
Questions
How much does Apriem Advisors manage?
Apriem Advisors reports $1.5B in regulatory assets under management across 2,878 accounts, 98% of it on a discretionary basis, on its Form ADV filed July 10, 2026.
How many clients does Apriem Advisors have?
It reports 1,060 individual clients: 345 high-net-worth individuals and 715 other individuals. Individuals account for about 92% of its regulatory assets.
Where is Apriem Advisors headquartered?
Its main office is in Irvine, California. It reports 1 office in total and 17 employees, 14 of whom perform investment advisory functions.
How does Apriem Advisors charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; fixed fees; performance-based fees. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Apriem Advisors use?
It reports Charles Schwab as the custodian for its clients’ separately managed accounts. On Schedule D of its Form ADV filed July 10, 2026, it reports these amounts held: Charles Schwab ($1.5B). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Apriem Advisors a hybrid RIA with a broker-dealer?
Apriem Advisors reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Is Apriem Advisors a fiduciary?
As an SEC-registered investment adviser, Apriem Advisors owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. It reports no employees who are registered representatives of a broker-dealer.
Where these numbers come from
Every figure is Apriem Advisors’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-07-10), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →