Firm profile

Apriem Advisors

IRVINE, CACRD 108188Registration Status: ApprovedEffective since March 20, 1998SEC # 801-55371Latest ADV July 10, 2026

Apriem Advisors is an SEC registered investment adviser organized as a corporation with a primary office location in Irvine, CA. Its latest Form ADV filing, dated July 10, 2026, reports $1.5B in regulatory assets under management, 17 employees, 1 office, and 2,878 accounts.

Assets Under Management
$1.5B
Employees
17
Offices
1 office
Total Clients
1,071

Associated firm names

5 names listed
  • APRIEM ADVISORS
  • IWAMOTO, KONG & CO., INC.
  • IWAMOTO KONG WEALTH MANAGEMENT GROUP
  • IWAMOTO KONG & CO INC

Leadership

4 roles identified
CCORhonda L. Ducote
CFOHarmon A. Kong
CFOJennifer N. Olson

Advisory services offered

6 types reported
Educational seminars/workshops
Financial Planning Services
Pension consulting services

Fee models offered

3 types reported
Asset based fees
Fixed fees
Performance-based fees

Offices & Contact

Primary office

IRVINE, California, United States

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Primary office regionOther reported regions

Shading shows states and countries with reported offices. Cities are listed below; shading does not indicate service coverage.

California

IRVINEPrimary office

1 office records listed · 1 total offices reported. Counts can use different reporting dates. SEC filers may list only their largest 25 additional offices.

Contact and digital presence

ADV profile links

Regulatory Assets Under Management Breakdown

Total regulatory assets under management$1.5Bas of July 10, 2026
Discretionary98.5%
$1.5B
98% of total RAUM98.5%
Non-discretionary1.5%
$23M
2% of total RAUM1.5%
Regulatory assets under management are split between discretionary and non-discretionary assets.

Client Coverage Demographics

Top client segmentIndividuals represent 66.8% of total clients.
Top client categories% of clientsClients
1
Individuals
66.8%
715
2
HNWI
32.2%
345
3
Charitable
0.8%
9
4
Pension Plans
0.1%
1
5
Corporations
0.1%
1
Categories with <5 clients
Corporations or other businesses not listed above<5 clients
Pension and profit sharing plans<5 clients

Assets under management Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total AUM$1.5B
Total Accounts2,878
10Y AUM Change+$970M (+188.7%)

Private Funds

Private funds reported by Apriem Advisors

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Employee Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total Employees17
Clients per Employee63:1
10Y Employee Change+4 (+30.8%)

Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.


Ownership

Reported direct and indirect ownership ranges

Each range applies to a separate reported relationship and should not be added together.

Reported ownership ranges

Highlighted bands show the percentage range reported in Form ADV.

0%25%50%75%100%
HARMON ANSON KONGDirect owner · Schedule AInterest in APRIEM ADVISORS
50% to < 75%
THE KONG TRUST DATED 8-17- 1998Direct owner · Schedule AInterest in APRIEM ADVISORS
50% to < 75%
LEA THERESA KONGDirect owner · Schedule AInterest in APRIEM ADVISORS
50% to < 75%
RHONDA LOUISE DUCOTEDirect owner · Schedule AInterest in APRIEM ADVISORS
10% to < 25%
BENJAMIN CHIU-FUNG LAUDirect owner · Schedule AInterest in APRIEM ADVISORS
10% to < 25%
DUCOTE FAMILY TRUST DATED 8/28/2001Direct owner · Schedule AInterest in APRIEM ADVISORS
10% to < 25%
LAU FAMILY TRUST DATED 8/2/13Direct owner · Schedule AInterest in APRIEM ADVISORS
10% to < 25%
JAMES NOLAN DUCOTEDirect owner · Schedule AInterest in APRIEM ADVISORS
10% to < 25%
WENDY YOUME LAUDirect owner · Schedule AInterest in APRIEM ADVISORS
10% to < 25%
LANDON MAKOTO YOSHIDADirect owner · Schedule AInterest in APRIEM ADVISORS
5% to < 10%
ERICA MIYEKO YOSHIDADirect owner · Schedule AInterest in APRIEM ADVISORS
5% to < 10%
YOSHIDA FAMILY TRUSTDirect owner · Schedule AInterest in APRIEM ADVISORS
5% to < 10%

Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Apriem Advisors.

No indirect ownership information reported in the source’s Schedule B.

Reported ownership and control details

Form ADV · Filing date 2026-07-10 · Schedules A and B

14 entries
#Owner / person & roleInterest in entityReported interestControl personTitle / status acquiredSource
1HARMON ANSON KONGSECRETARY, CFO, TREASURER, CHIEF WEALTH MANAGER, DIRECTOR, TRUSTEE OF KONG TRUSTIndividualAPRIEM ADVISORS50% to less than 75%Code DYesSECRETARY, CFO, TREASURER, CHIEF WEALTH MANAGER, DIRECTOR, TRUSTEE OF KONG TRUST01/1998Schedule APDF page 27
2RHONDA LOUISE DUCOTEPRESIDENT, CHIEF COMPLIANCE OFFICER, SENIOR WEALTH MANAGER, DIRECTOR, TRUSTEE OF DUCOTE FAMILY TRUSTIndividualAPRIEM ADVISORS10% to less than 25%Code BYesPRESIDENT, CHIEF COMPLIANCE OFFICER, SENIOR WEALTH MANAGER, DIRECTOR, TRUSTEE OF DUCOTE FAMILY TRUST01/2010Schedule APDF page 27
3BENJAMIN CHIU-FUNG LAUVICE PRESIDENT, CHIEF INVESTMENT OFFICER, DIRECTOR, TRUSTEE OF LAU FAMILY TRUSTIndividualAPRIEM ADVISORS10% to less than 25%Code BYesVICE PRESIDENT, CHIEF INVESTMENT OFFICER, DIRECTOR, TRUSTEE OF LAU FAMILY TRUST01/2010Schedule APDF page 27
4DUCOTE FAMILY TRUST DATED 8/28/2001SHAREHOLDERDomestic entityAPRIEM ADVISORS10% to less than 25%Code BYesSHAREHOLDER01/2010Schedule APDF page 27
5THE KONG TRUST DATED 8-17- 1998SHAREHOLDERDomestic entityAPRIEM ADVISORS50% to less than 75%Code DYesSHAREHOLDER01/1998Schedule APDF page 27
6LAU FAMILY TRUST DATED 8/2/13SHAREHOLDERDomestic entityAPRIEM ADVISORS10% to less than 25%Code BYesSHAREHOLDER01/2010Schedule APDF page 27
7JAMES NOLAN DUCOTETRUSTEE OF DUCOTE FAMILY TRUSTIndividualAPRIEM ADVISORS10% to less than 25%Code BNoTRUSTEE OF DUCOTE FAMILY TRUST08/2001Schedule APDF page 27
8LEA THERESA KONGTRUSTEE OF KONG TRUSTIndividualAPRIEM ADVISORS50% to less than 75%Code DNoTRUSTEE OF KONG TRUST08/1998Schedule APDF page 27
9WENDY YOUME LAUTRUSTEE OF LAU FAMILY TRUSTIndividualAPRIEM ADVISORS10% to less than 25%Code BNoTRUSTEE OF LAU FAMILY TRUST08/2013Schedule APDF page 27
10LANDON MAKOTO YOSHIDATRUSTEE OF YOSHIDA FAMILY TRUSTIndividualAPRIEM ADVISORS5% to less than 10%Code ANoTRUSTEE OF YOSHIDA FAMILY TRUST01/2017Schedule APDF page 27
11ERICA MIYEKO YOSHIDATRUSTEE OF YOSHIDA FAMILY TRUSTIndividualAPRIEM ADVISORS5% to less than 10%Code ANoTRUSTEE OF YOSHIDA FAMILY TRUST01/2017Schedule APDF page 27
12YOSHIDA FAMILY TRUSTSHAREHOLDERDomestic entityAPRIEM ADVISORS5% to less than 10%Code ANoSHAREHOLDER01/2017Schedule APDF page 27
13JENNIFER NECIR OLSONCHIEF FINANCIAL OFFICERIndividualAPRIEM ADVISORSLess than 5%Code NAYesCHIEF FINANCIAL OFFICER01/2025Schedule APDF page 27
14CHRISTOPHER ALAN WHITAKERCHIEF WEALTH MANAGERIndividualAPRIEM ADVISORSLess than 5%Code NAYesCHIEF WEALTH MANAGER01/2025Schedule APDF page 27

Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.

Compliance & Disclosures

Filing dated 7/10/2026 3:46:02 PM

Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.

RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No

In the past ten years, have you or any advisory affiliate:

  • A1Been convicted of or pleaded guilty or no contest to a felony?No
  • A2Been charged with a felony?No
BMisdemeanors2 No

In the past ten years, have you or any advisory affiliate:

  • B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
  • B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No

Has the SEC or CFTC ever:

  • C1Found you or an advisory affiliate made a false statement or omission?No
  • C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
  • C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No

Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:

  • D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
  • D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
  • D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No

Has a self-regulatory organization or commodities exchange ever:

  • E1Found you or an advisory affiliate made a false statement or omission?No
  • E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
  • E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
  • FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
  • GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No

(1) Court actions

Has a domestic or foreign court:

  • H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
  • H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
  • H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No

(2) Pending civil proceedings

  • H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No

* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.