Roehl & Yi Investment Advisors, LLC
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Overview
Roehl & Yi Investment Advisors, LLC is an advisory firm headquartered in Eugene, Oregon. The company controls $698.8 million in total assets throughout 1,545 client accounts, making it one of the bigger investment advisory firms in the United States by assets under management (AUM). It has a small group, including 10 financial advisors. Roehl & Yi Investment Advisors, LLC is not a registered broker-dealer, meaning the advisor is not able to buy and sell securities for its clients' and own accounts and instead has to go through a broker-dealer firm to do so. Securities are tradable financial assets such as options, equities and bonds.
Roehl & Yi Investment Advisors, LLC manages most of the company's accounts in a discretionary manner. Discretionary management is a structure in which a portfolio manager makes transaction choices for the client's account without needing to seek client consent. The company also manages 26 non-discretionary accounts with a total of $10.9 million in assets under management. The company administers an average of $452,308 for every client account. The typical advisor at Roehl & Yi Investment Advisors, LLC manages around 155 client accounts.
The company's main office is located at 450 Country Club Road, Eugene, Oregon 97401. The firm is permitted to serve investors throughout a few states, including California, Colorado, Idaho, Minnesota, New Hampshire, Texas, Washington, Oregon and Utah.
Assets Under Management
Number of Advisors
Disclosures
Office Location
Roehl & Yi Investment Advisors, LLC by the Numbers
$698.8 million
16
1,545
$452.3 thousand
Products and Services
Roehl & Yi Investment Advisors, LLC provides multiple financial services, which can consist of financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services and selection of other advisers. In the prior financial year, it provided financial planning services to 1-10 of its accounts. It does not sell products or offer services apart from investment advisory services to its investment advisory customers. The company is also affiliated with one or more other service providers in the financial services industry, including with an insurance company or agency.
Core Advisor Services
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Offered by 31% of firms
Financial Planning Services
This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.
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Offered by 46% of firms
Portfolio Management
This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.
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Market Timing Services
This is the practice of attempting to make short-term profits on investments by buying low and selling high.
Other Services
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Offered by 20% of firms
Selection of Other Advisors
This is the firm's assistance with choosing other advisors to work with who may have different specialties.
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Publication of Periodicals
This is the publication of various financial education materials.
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Educational Seminars/Workshops
This is the hosting of seminars or workshops to educate investors on financial concepts.
Fee Structure
Fees for financial management vary depending on the services provided. Fees billed by the firm most likely are comprised of the following fee types: asset-based, hourly or fixed. Wrap fee programs, or the practice of bundling services for a single fee, are offered by Roehl & Yi Investment Advisors, LLC.
Available
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Offered by 69% of firms
Percentage of Assets
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Offered by 21% of firms
Hourly
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Offered by 32% of firms
Fixed
Unavailable
Types of Clients
Roehl & Yi Investment Advisors, LLC does business with a number of different investors. The company works with retail investors, high net worth investors, pension plans, charitable organizations and corporations. Out of its 1,545 clients, Roehl & Yi Investment Advisors, LLC's largest client by number of accounts is high net worth investors, although it also manages money for 891 high-net-worth individuals. The SEC defines a high-net-worth individual as a person who has at least $750,000 in AUM or a net worth of more than $1.50 million or who is deemed a "qualified purchaser" (a standard met by having at least $5 million in investments). Just 1% of the firm's accounts are non-U.S. persons.
- High-Net-Worth Individuals* - 57.67%
- Other Individuals - 39.35%
- Corporations - 2.52%
- Charitable Organizations - 0.45%
* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.
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Disclosures
Roehl & Yi Investment Advisors, LLC does not have any disclosures.
Please visit its Form ADV for more details.
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