YC
YC
Yinyi Chen
32 Years of Experience
Arcadia, CA
1 DisclosureBroker
Yinyi Chen is a registered investment advisor at Castle Group Investment Counsel, INC., based in Arcadia, CA, with 32 years of industry experience. Yinyi operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management.
Compensation
Fee-Only (% of Portfolio)
Firm Size
2 advisors
Number of Clients
Not specified
Average Client Portfolio
Not specified
Fee Structure
Minimum Investment:$25K
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 3.00% |
| $250K - $500K | 2.75% |
| $500K - $1.0M | 2.50% |
| $1.0M - $2.0M | 2.00% |
| $2.0M - $5.0M | 1.75% |
| $5M+ | 1.50% |
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
Loading...
Location
Arcadia, CA
Get directionsHistory
Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
December 2015Final
Other Business Activities
Yinyi is a Registered Investment Advisor Representative and President at Castle Group Investment Counsel since 2002, dedicating a few hours per week. Yinyi is also a real estate agent at Golden Orange Realty Inc. since 2022, spending minimal time on this non-investment related activity.
Employment History
Current Registrations
Castle Group Investment Counsel, INC.
March 2006 - Present · 20 yrs 2 mos
Fortune Securities, INC.Broker
May 1997 - Present · 29 yrs
Previous Registrations
U. S. Pacific Financial Services, INC.Broker
April 1993 - June 2000 · 7 yrs 2 mos
State Registrations11 states
AZCACOILNJNVNYPARITXWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.