{ "crd_number": 108188, "slug": "apriem-advisors-irvine-ca-108188", "primary_business_name": "APRIEM ADVISORS", "legal_name": "APRIEM ADVISORS", "dbas": [], "city": "Irvine", "state": "CA", "country": "United States", "cbsa_code": "31080", "metro": { "cbsa_code": "31080", "common_name": "Los Angeles", "msa_name": "Los Angeles-Long Beach-Anaheim, CA", "path": "/advisors/ca/los-angeles" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "1998-03-20", "years_registered": 28, "period": "2026-10-01", "filing_date": "2026-07-10", "carried_forward": false, "raum_total": 1483716736.0, "raum_discretionary": 1460827838.0, "raum_non_discretionary": 22888898.0, "raum_band": "1b_5b", "raum_band_label": "$1 billion to $5 billion", "total_employees": 17, "advisory_employees": 14, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "charitable": { "raum": 88340738.0, "count": 9 }, "individuals": { "raum": 319936519.0, "count": 715 }, "pension_profit_sharing": { "raum": 26000456.0, "count": 1, "fewer_than_5": true }, "high_net_worth_individuals": { "raum": 1043798237.0, "count": 345 }, "corporations_other_businesses": { "raum": 5640786.0, "count": 1, "fewer_than_5": true } }, "compensation_types": [ "fixed", "percentage_of_aum", "performance_based" ], "advisory_activities": [ "educational_seminars", "financial_planning", "pension_consulting", "periodicals_newsletters", "portfolio_management_individuals", "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "AZ", "CA", "CO", "FL", "HI", "ID", "MA", "MD", "NH", "NV", "NY", "OR", "PA", "TX", "WA" ], "websites": [ "https://apriem.com", "https://facebook.com/APRIEMADVISORS", "https://instagram.com/APRIEM_ADVISORS", "https://linkedin.com/COMPANY/APRIEMADVISORS", "https://youtube.com/c/ApriemAdvisors" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/108188", "city_as_filed": "IRVINE", "url": "https://advisorcensus.com/firm/apriem-advisors-irvine-ca-108188", "display_name": "Apriem Advisors", "summary": "Apriem Advisors is an SEC-registered investment advisory firm in Irvine, CA, registered since 1998, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated July 10, 2026.", "citation": "AdvisorCensus. Apriem Advisors (CRD 108188): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Fixed fees (other than subscription fees)", "Performance-based fees" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Pension consulting services", "Selection of other advisers (including private fund managers)", "Publication of periodicals or newsletters", "Educational seminars/workshops" ], "quick_answers": [ { "q": "How is Apriem Advisors compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Apriem Advisors reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); performance-based fees." }, { "q": "Where is Apriem Advisors located?", "a": "Apriem Advisors' principal office is in Irvine, CA, according to its Form ADV; the April 2026 filing also lists 2 other offices (Schedule D, Section 1.F)." }, { "q": "Is Apriem Advisors registered with the SEC or a state?", "a": "Apriem Advisors is an SEC-registered investment advisory firm, registered since 1998. Status as filed: Approved. CRD 108188." }, { "q": "How much does Apriem Advisors manage?", "a": "Apriem Advisors reports $1,483,716,736 in regulatory assets under management in its Form ADV filing dated July 10, 2026 (98% discretionary)." }, { "q": "How have Apriem Advisors' assets and staff changed since 2021?", "a": "In the Form ADV data for Apriem Advisors: Regulatory assets under management: $875,925,037 in the October 2021 data and $1,483,716,736 in the October 2026 data, up 69%. Total employees: 14 in October 2021 and 17 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Apriem Advisors serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (715); high net worth individuals (345); charitable organizations (9)." }, { "q": "Which custodians does Apriem Advisors use?", "a": "Apriem Advisors' most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets." }, { "q": "Does Apriem Advisors report any disciplinary disclosures?", "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/108188" }, { "q": "What changed in Apriem Advisors' recent Form ADV filings?", "a": "In the August 2026 filing data: No longer lists an office in San Diego, CA. No longer lists an office in Torrance, CA." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 875925037.0, "total_employees": 14, "filing_date": "2021-03-16" }, { "period": "2022-10-01", "regulatory_assets_under_management": 1007886557.0, "total_employees": 18, "filing_date": "2022-08-01" }, { "period": "2023-10-01", "regulatory_assets_under_management": 862064892.0, "total_employees": 16, "filing_date": "2023-05-26" }, { "period": "2024-10-01", "regulatory_assets_under_management": 1049674469.0, "total_employees": 16, "filing_date": "2024-03-05" }, { "period": "2025-10-01", "regulatory_assets_under_management": 1229145243.0, "total_employees": 17, "filing_date": "2025-03-26" }, { "period": "2026-10-01", "regulatory_assets_under_management": 1483716736.0, "total_employees": 17, "filing_date": "2026-07-10" } ], "recent_changes": [ { "period": "2026-08-01", "period_label": "August 2026", "notes": [ "No longer lists an office in San Diego, CA.", "No longer lists an office in Torrance, CA." ] }, { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Regulatory assets under management went from $1,229,145,243 to $1,486,377,797 (+21%).", "Updated its list of owners and control persons (Schedule A)." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "Charles Schwab & Co., Inc.", "name_as_filed": "CHARLES SCHWAB & CO., INC.", "affiliated": false } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/apriem-advisors-irvine-ca-108188.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 715, "fewer_than_5": false, "raum": 319936519.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 345, "fewer_than_5": false, "raum": 1043798237.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 1, "fewer_than_5": true, "raum": 26000456.0 }, { "type": "charitable", "label": "Charitable organizations", "count": 9, "fewer_than_5": false, "raum": 88340738.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 1, "fewer_than_5": true, "raum": 5640786.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/108188", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }