Joseph
Lum
Mai Capital Management, LLC
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About this Advisor
Joseph Lum is a certified financial planner based in Dublin, California, who has 1 year of industry experience. Lum is currently employed by Mai Capital Management, LLC. Over the course of their career, they have held roles at Mai Capital Management, LLC, Financial Horizons-Wealth Building Strategies LLC and True Capital Management. Lum holds a Series 65 license, which qualifies them as an investment advisor representative, and is registered to work in California. Mai Capital Management, LLC is a registered investment firm headquartered in Independence, OH. It has offices in 20 locations and a total of 331 people on staff. It administers $16 billion in assets under management between its 23,704 customer accounts, placing it among the biggest firms in the nation by assets under management. The firm provides financial advice to 45 charities and foundations. Of its 23,704 client accounts, 43% are associated with high-net-worth individuals who have more than $1 million in investable assets. Mai Capital Management, LLC has a wide array of services, such as financial planning services, portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for institutional clients, pension consulting services, selection of other advisers and other services. A financial advisor's fee schedules usually are based on which services the firm provides the client. Fees billed by Mai Capital Management, LLC most likely include asset-based, hourly, fixed, performance-based and other fees.
Certifications and Registrations
Years Registered*
Services Offered
Fee Structure
Office Location
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Mai Capital Management, LLC Brokerage Details
$15,773,426,777
331
23,704
$665,433
Investment Advisory Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses or institutional clients
- Pension consulting services
- Selection of other advisers
- Other
Joseph Lum Work History
Joseph has been registered as a financial advisor for 1 years.*
Mai Capital Management, LLC
Financial Horizons-Wealth Building Strategies LLC
True Capital Management
*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.
Disclosures
Please visit the SEC profile of Joseph Lum to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.
Financial Advisors at Mai Capital Management, LLC
Reston, VA
Dublin, CA
Cincinnati, OH
Rockville, MD
Independence, OH
Little Rock, AR
Independence, OH
Independence, OH
The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.
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Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes the use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.
