SS
CFP
SS
CFP

Sun Mi Shim

27 Years of Experience
Sells Insurance
Areas of Practice
Investment ManagementRetirement PlanningTax PlanningEstate PlanningEducation PlanningFinancial Planning & Coaching
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
8 advisors
Number of Clients
565 clients
Average Client Portfolio
$1.1M average
Assets Under Management
$631.3M

Fee Structure

Minimum Investment:$1M
Financial Planning:Investment management only
AUM-Based Fees (Tiered)
Assets Under ManagementAnnual Fee
Up to $1.0M1.25%
$1.0M - $2.0M1.15%
$2.0M - $5.0M1.00%
$5M+1.00%

Management fees are negotiable and may vary, depending on the complexity of the client’s financial situation. For amounts over $5,000,001, the fee is negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location

7474 North Figueroa Street, Suite 100, Los Angeles, CA, 90041

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

Sun is an independent insurance agent for various independent insurance companies. She also works as a Notary Public and CFP/EA designee, dedicating minimal time to the former and a few hours per week to the latter.

Employment History
Current Registrations
Mason & Associates, INC.
November 2006 - Present · 19 yrs 3 mos
Previous Registrations
Cambridge Investment Research, INC.Broker
November 2006 - December 2015 · 9 yrs 1 mo
Transamerica Financial Advisors, INC.
November 2005 - November 2006 · 1 yr
Transamerica Financial Advisors, INC.Broker
May 2002 - November 2006 · 4 yrs 6 mos
Point Direx Securities, LLCBroker
October 2001 - January 2002 · 3 mos
Sonic Technologies LLCBroker
September 2000 - June 2001 · 9 mos
Genesis Advisors, INC.Broker
May 2000 - September 2000 · 4 mos
Providential Securities, INC.Broker
March 1999 - April 2000 · 1 yr 1 mo
Go Trading, INC.Broker
January 1998 - August 1998 · 7 mos
Providential Securities, INC.Broker
April 1997 - August 1998 · 1 yr 4 mos
State Registrations1 state
CA
Advisor
Exams
No exam information available for this advisor.