{
  "crd_number": 109258,
  "slug": "roehl-and-yi-investment-advisors-llc-eugene-or-109258",
  "primary_business_name": "ROEHL & YI INVESTMENT ADVISORS, LLC",
  "legal_name": "ROEHL & YI INVESTMENT ADVISORS, LLC",
  "dbas": [],
  "city": "Eugene",
  "state": "OR",
  "country": "United States",
  "cbsa_code": "21660",
  "metro": {
    "cbsa_code": "21660",
    "common_name": "Eugene",
    "msa_name": "Eugene-Springfield, OR",
    "path": "/advisors/or/eugene"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "1999-01-12",
  "years_registered": 27,
  "period": "2026-10-01",
  "filing_date": "2026-03-20",
  "carried_forward": false,
  "raum_total": 959361821.0,
  "raum_discretionary": 953231256.0,
  "raum_non_discretionary": 6130565.0,
  "raum_band": "500m_1b",
  "raum_band_label": "$500 million to $1 billion",
  "total_employees": 16,
  "advisory_employees": 10,
  "client_count_bucket": null,
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0
    },
    "charitable": {
      "raum": 16786673.0,
      "count": 8
    },
    "individuals": {
      "raum": 121881227.0,
      "count": 285
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 0
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 9479451.0,
      "count": 12
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 772403545.0,
      "count": 175
    },
    "pooled_investment_vehicles": {
      "raum": 0.0,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 38810925.0,
      "count": 20
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "pension_consulting",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 0,
  "states_registered": [
    "AZ",
    "CA",
    "ID",
    "MN",
    "MO",
    "NH",
    "OR",
    "WA"
  ],
  "websites": [
    "https://linkedin.com/company/roehl-&-yi-investment-advisors-llc",
    "https://roehl-yi.com",
    "https://twitter.com/RoehlYi"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/109258",
  "city_as_filed": "EUGENE",
  "url": "https://advisorcensus.com/firm/roehl-and-yi-investment-advisors-llc-eugene-or-109258",
  "display_name": "Roehl & YI Investment Advisors, LLC",
  "summary": "Roehl & YI Investment Advisors, LLC is an SEC-registered investment advisory firm in Eugene, OR, registered since 1999, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated March 20, 2026.",
  "citation": "AdvisorCensus. Roehl & YI Investment Advisors, LLC (CRD 109258): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Pension consulting services",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Roehl & YI Investment Advisors, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Roehl & YI Investment Advisors, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)."
    },
    {
      "q": "How much does Roehl & YI Investment Advisors, LLC charge?",
      "a": "Its Form ADV Part 2A brochure dated March 20, 2026 states: Hourly rate: $295 an hour (stand-alone financial planning and consulting services). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Roehl & YI Investment Advisors, LLC located?",
      "a": "Roehl & YI Investment Advisors, LLC's principal office is in Eugene, OR, according to its Form ADV."
    },
    {
      "q": "Is Roehl & YI Investment Advisors, LLC registered with the SEC or a state?",
      "a": "Roehl & YI Investment Advisors, LLC is an SEC-registered investment advisory firm, registered since 1999. Status as filed: Approved. CRD 109258."
    },
    {
      "q": "How much does Roehl & YI Investment Advisors, LLC manage?",
      "a": "Roehl & YI Investment Advisors, LLC reports $959,361,821 in regulatory assets under management in its Form ADV filing dated March 20, 2026 (99% discretionary)."
    },
    {
      "q": "How have Roehl & YI Investment Advisors, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Roehl & YI Investment Advisors, LLC: Regulatory assets under management: $494,025,693 in the October 2021 data and $959,361,821 in the October 2026 data, up 94%. Total employees: 14 in October 2021 and 16 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Roehl & YI Investment Advisors, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (285); high net worth individuals (175); corporations or other businesses not listed above (20)."
    },
    {
      "q": "Which custodians does Roehl & YI Investment Advisors, LLC use?",
      "a": "Roehl & YI Investment Advisors, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Pershing LLC as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Roehl & YI Investment Advisors, LLC 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/109258"
    },
    {
      "q": "Does Roehl & YI Investment Advisors, LLC state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated March 20, 2026 says: \"As a condition for starting and maintaining an investment management relationship, Roehl & Yi generally imposes a minimum portfolio size of $2,000,000.\" \"The Firm, in its sole discretion, may accept clients with smaller portfolios based upon certain criteria, such as anticipated future earning capacity, anticipated future additional assets, dollar amount of assets to be managed, related accounts, account composition, pre- existing client relationships, account retention and pro bono activities.\""
    },
    {
      "q": "What changed in Roehl & YI Investment Advisors, LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Employees performing advisory functions went from 11 to 10. Regulatory assets under management went from $857,825,360 to $959,361,821 (+12%). Registered or notice-filed in MO. Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 494025693.0,
      "total_employees": 14,
      "filing_date": "2021-03-30"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 746574000.0,
      "total_employees": 16,
      "filing_date": "2022-06-27"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 698816109.0,
      "total_employees": 16,
      "filing_date": "2023-05-04"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 809789904.0,
      "total_employees": 16,
      "filing_date": "2024-03-28"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 857825360.0,
      "total_employees": 17,
      "filing_date": "2025-05-29"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 959361821.0,
      "total_employees": 16,
      "filing_date": "2026-03-20"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 11 to 10.",
        "Regulatory assets under management went from $857,825,360 to $959,361,821 (+12%).",
        "Registered or notice-filed in MO.",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 20, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "$2,000,000",
    "account_minimum_may_be_waived": true,
    "minimum_annual_fee": null,
    "planning_fees": [
      "Hourly rate: $295 an hour (stand-alone financial planning and consulting services)"
    ],
    "figures": [
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: $2,000,000 (the brochure says it may be waived or negotiated)"
        ],
        "quotes": [
          "As a condition for starting and maintaining an investment management relationship, Roehl & Yi generally imposes a minimum portfolio size of $2,000,000.",
          "The Firm, in its sole discretion, may accept clients with smaller portfolios based upon certain criteria, such as anticipated future earning capacity, anticipated future additional assets, dollar amount of assets to be managed, related accounts, account composition, pre- existing client relationships, account retention and pro bono activities."
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Hourly rate: $295 an hour (stand-alone financial planning and consulting services)"
        ],
        "quotes": [
          "Roehl & Yi generally charges either a negotiable hourly and/or fixed fee to provide clients with stand-alone financial planning and consulting services. ... up to $295 on an hourly basis, $25,000 on a fixed fee basis."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": 2000000.0,
      "minimum_annual_fee": null,
      "planning": [
        {
          "kind": "hourly",
          "amount": 295.0,
          "min": null,
          "max": null,
          "period": "hour",
          "service": "stand-alone financial planning and consulting services"
        }
      ]
    },
    "quotes": [
      "As a condition for starting and maintaining an investment management relationship, Roehl & Yi generally imposes a minimum portfolio size of $2,000,000.",
      "The Firm, in its sole discretion, may accept clients with smaller portfolios based upon certain criteria, such as anticipated future earning capacity, anticipated future additional assets, dollar amount of assets to be managed, related accounts, account composition, pre- existing client relationships, account retention and pro bono activities.",
      "Roehl & Yi generally charges either a negotiable hourly and/or fixed fee to provide clients with stand-alone financial planning and consulting services. ... up to $295 on an hourly basis, $25,000 on a fixed fee basis."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    },
    {
      "name": "Pershing LLC",
      "name_as_filed": "PERSHING LLC",
      "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/roehl-and-yi-investment-advisors-llc-eugene-or-109258.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 285,
      "fewer_than_5": false,
      "raum": 121881227.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 175,
      "fewer_than_5": false,
      "raum": 772403545.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 12,
      "fewer_than_5": false,
      "raum": 9479451.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 8,
      "fewer_than_5": false,
      "raum": 16786673.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 20,
      "fewer_than_5": false,
      "raum": 38810925.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "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/109258",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}