TR
CFP
Firm Information
Compensation
Fee-Only (AUM)Fixed/Hourly
Number of Advisors
9 advisors
Number of Clients
478 clients
Average Client Portfolio
$1.8M average
Assets Under Management
$857.8M
Fee Structure
Minimum Investment:$2M
Financial Planning:Included in AUM fee
Roehl & Yi provides wealth management services for an annual fee based on assets under management, ranging from 0.10% to 0.95%. The fee is charged quarterly, in advance. Clients also incur charges imposed by third parties, such as fund expenses and transaction fees charged by certain independent managers. The firm may negotiate fees based on various criteria.
Areas of Practice
Investment ManagementRetirement PlanningEstate PlanningCharitable GivingEducation PlanningInsurance Planning
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Advisor Information
Office location
Eastsound, WA
Get directionsRegulatory History (1)
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Regulatory
August 1991Final
Other Business ActivitiesSells Insurance
Thomas is a part owner of Roehl & Yi Investment Services, selling life, disability, and long-term care insurance, dedicating minimal time. He also co-owns an investment advisory firm, Roehl & Yi Investment Advisors, spending nearly full-time providing investment advice to clients.
Employment History
Current Registrations
Roehl & Yi Investment Advisors, LLC
July 2002 - Present · 23 yrs 6 mos
Previous Registrations
Kms Financial Services, INC.Broker
March 2005 - December 2014 · 9 yrs 9 mos
Walnut Street Securities, INC.Broker
May 1989 - March 2005 · 15 yrs 10 mos
Integrated Resources Equity CorporationBroker
May 1983 - May 1989 · 6 yrs
Ids Marketing Corporation Broker
August 1982 - May 1983 · 9 mos
State Registrations2 states
ORWA
Advisor
Exams
No exam information available for this advisor.