Firm Information

Compensation
Fee-Only (AUM)
Number of Advisors
10 advisors
Number of Clients
7,107 clients
Average Client Portfolio
$807K average
Assets Under Management
$5.7B

Fee Structure

Minimum Investment:$250K
Financial Planning:Investment management only

Fees for investment management services are calculated as a percentage of assets under management and are negotiable based on the client's objectives, complexity of the investment plan, and types of assets held. The specific fee will be stated in the Engagement Agreement. Fees are payable quarterly in arrears. The recommended minimum household portfolio size is generally $250,000 for Equity/Blended portfolios and $500,000 for Fixed-Income portfolios.

Areas of Practice
Investment Management
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Advisor Information

Office location

2121 Avenue of the Stars, Suite 1600, Los Angeles, CA, 90067-5040

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Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Jae works full-time as a product wholesaler for SIA model solutions. Jae also owns rental property through J & J Yu Properties, LLC, dedicating minimal time to this.

Employment History
Current Registrations
Signature Estate Securities, LLCBroker
January 2024 - Present · 2 yrs
Signature Investment Advisors, LLC
May 2021 - Present · 4 yrs 8 mos
Previous Registrations
Seia
October 2020 - May 2021 · 7 mos
Royal Alliance Associates, INC. Broker
October 2020 - June 2023 · 2 yrs 8 mos
Bancwest Investment Services, INC.Broker
May 2019 - October 2020 · 1 yr 5 mos
Bancwest Investment Services, INC. (bwis)
May 2019 - October 2020 · 1 yr 5 mos
Lockwood Advisors INC
November 2007 - March 2019 · 11 yrs 4 mos
Pershing LLCBroker
November 2007 - March 2019 · 11 yrs 4 mos
Charles Schwab & Co., INC.
July 2006 - October 2007 · 1 yr 3 mos
Charles Schwab & Co., INC. Broker
July 2006 - October 2007 · 1 yr 3 mos
Usallianz Securities, INC.Broker
April 2005 - November 2005 · 7 mos
Old Mutual Investment PartnersBroker
July 2000 - October 2004 · 4 yrs 3 mos
Prudential Securities IncorporatedBroker
May 1999 - May 2000 · 1 yr
Uam Fund Distributors, INC.Broker
May 1998 - October 1998 · 5 mos
Vanguard Marketing CorporationBroker
November 1996 - September 1997 · 10 mos
State Registrations1 state
CA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.