Lois Yim is a CFP-designated registered investment advisor at Osaic Wealth, INC., based in Hamilton, NJ, with 11 years of industry experience. Lois operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Education Planning, Estate Planning, Investment Management, and 1 more. Their firm serves 574,829 clients with $200B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Osaic Wealth offers investment management through several platforms, including Advisor Managed Portfolios, Unified Managed Accounts, and Signator Managed Account Platform. Fees are negotiable and based on a percentage of the assets in your account. The fees cover advisory services, custodial services, and in some cases, transaction costs. Mutual funds and ETFs within these accounts have their own internal fees. Some programs have wrap accounts where all costs are bundled into one fee.
Location
100 Horizon Blvd., Ste. 105, Hamilton, NJ, 08691
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Regulatory History
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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Lois is a registered representative with Stephen Ng Financial Group LLC, dedicating nearly full-time hours to securities trading. She also serves as a Notary Public, spending minimal time on this activity, and is a member of Revaya Legacy Inc, a 501c3 organization, spending minimal time on this activity.
Employment History
Current Registrations
Osaic Wealth, INC.
Osaic Wealth, INC.Broker
Previous Registrations
Sagepoint Financial, INC.
Sagepoint Financial, INC.Broker
J.P. Morgan Securities LLCBroker
State Registrations18 states
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