Wealth manager, independent · Honolulu, HI
YIM Investment Management, LLC
SEC-registered investment adviser · CRD 136984 · SEC 801-64818
At a glance
YIM Investment Management, LLC is an SEC-registered investment adviser based in Honolulu, Hawaii, with $308 million in regulatory assets under management as of its Form ADV filed March 25, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 523 individual clients. By Form ADV it is a wealth manager, ranked 4,296th of 8,915 wealth managers and 10,027th of 17,210 SEC-registered advisers by assets.
Main office 808-955-8800yimllc.comAs filed on Form ADV
- Regulatory AUM
- $308M
- Rank among wealth managers
- #4,296 of 8,915
- Rank among all SEC RIAs
- #10,027 of 17,210
- Rank in Hawaii
- #8 of 20
- Individual clients
- 523
- High-net-worth clients
- 105
- Accounts
- 1,595
- Discretionary
- 93% of AUM
- Employees
- 7
- Advisory staff
- 1
- Offices
- 1
Owners and executives on its Form ADV
- Mario K. YimManaging Member & Chief Investment Officer
- Susie L. IngMarketing Manager
- Kaide LiuChief Compliance Officer (CCO)
Custody and brokerage
Custodian
YIM Investment Management, LLC’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
YIM Investment Management, LLC is a hybrid RIA: 2 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed March 2026) names Osaic Wealth as the broker-dealer its advisers are registered with.
Additionally, YIM Investment Management, LLC’s principals and associated persons are registered representatives with Osaic Wealth, Inc., a registered FINRA securities broker/dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 105 | $183M | 59% |
| Individuals | 418 | $125M | 41% |
Disciplinary disclosures
YIM Investment Management, LLC answers yes to 1 disclosure item in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Periodicals or newsletters
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Commissions
Form ADV and brochures on the SEC’s adviser search ↗yimllc.com ↗
AtlasMembers
The full record on YIM Investment Management, LLC
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
- Locked
- Growth over one, three and five years
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- Rank against 6,558 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 3 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does YIM Investment Management, LLC manage?
YIM Investment Management, LLC reports $308 million in regulatory assets under management across 1,595 accounts, 93% of it on a discretionary basis, on its Form ADV filed March 25, 2026.
What kind of firm is YIM Investment Management, LLC?
YIM Investment Management, LLC is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are YIM Investment Management, LLC’s clients?
By assets, its largest client types are high-net-worth individuals ($183 million, 105 clients); individuals ($125 million, 418 clients).
Does YIM Investment Management, LLC have any disciplinary history?
YIM Investment Management, LLC answers yes to 1 disclosure item in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is YIM Investment Management, LLC’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 (2026-03-25), 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). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. 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 →