TrueAdvisor
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JY
CFP
JY
CFP

James Yoo

Emerson Equity LLC
23 Years of Experience
Thousand Oaks, CA
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

James Yoo is a CFP-designated registered investment advisor at Emerson Equity LLC, based in Thousand Oaks, CA, with 23 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Estate Planning, High Net Worth, Insurance Planning, and 3 more. Their firm serves 620 clients with $320M in assets under management.

Emerson Equity LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
118 advisors
Number of Clients
620 clients
Average Client Portfolio
$519K average
Assets Under Management
$321.7M

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Fees are negotiable with a maximum fee of 2.5% charged annually (billed quarterly at up to 0.625% per quarter).

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

100 E Thousand Oaks Blvd, Suite 140, Thousand Oaks, CA, 91360

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History

Regulatory History (2)
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.
Judgment / Lien
March 2026
Judgment / Lien
April 2024
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

James is the President & CEO, Managing Director of Wealth Management, and Chief Compliance Officer of Team Elevated Asset Management, a registered investment advisory firm, dedicating full-time hours. He also works as an independent insurance agent for ASH Brokerage, selling life insurance, fixed annuities, and long-term care insurance, and for Anthem Blue Cross selling health insurance, spending a few hours per week on these activities. James is also Secretary of the Company and Board Member for GNH Global Management, Inc, spending a few hours per week.

Employment History
Current Registrations
Emerson Equity LLCBroker
November 2023 - Present · 2 yrs 11 mos
Team Elevated Asset Management
January 2023 - Present · 3 yrs 9 mos
Previous Registrations
Colorado Financial Service CorporationBroker
August 2016 - November 2023 · 7 yrs 3 mos
Gnh Asset Management, INC.
July 2015 - October 2023 · 8 yrs 3 mos
Mutual Securities, INC.Broker
February 2014 - August 2016 · 2 yrs 6 mos
M3 Asset Management, INC.
January 2014 - June 2015 · 1 yr 5 mos
Morgan StanleyBroker
June 2011 - January 2014 · 2 yrs 7 mos
Morgan Stanley
June 2011 - January 2014 · 2 yrs 7 mos
Primevest Financial Services, INC.Broker
February 2008 - March 2011 · 3 yrs 1 mo
Primevest Financial Services, INC.
February 2008 - March 2011 · 3 yrs 1 mo
Jefferson Pilot Securities CORP
August 2007 - February 2008 · 6 mos
Jefferson Pilot Securities CorporationBroker
August 2007 - February 2008 · 6 mos
Financial Network Investment CorporationBroker
February 2007 - August 2007 · 6 mos
Nylife Securities INC.Broker
June 2006 - January 2007 · 7 mos
AXA Advisors, LLC
May 2003 - June 2006 · 3 yrs 1 mo
AXA Advisors, LLCBroker
April 2003 - June 2006 · 3 yrs 2 mos
State Registrations5 states
CAILNJNVNY
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.
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