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NORMAN L. YU & COMPANY, INC.

Advisory

Data as of Dec 16, 2002 · Source: SEC Form ADV

Total AUM

$170K

1-Year AUM Growth

-98.3%

3-Year CAGR

-16.7%

Employees

0

Assets Under Management

Total AUM$170K

Discretionary AUM$170K

Non-Discretionary AUM$0

Discretionary %100%

Total Clients—

Team

Total Employees0

Investment Advisers0

Employee Growth (1Y)—

Filing History

Total Filings on Record7

First FilingFeb 1, 2001

Latest FilingDec 16, 2002

🔒 Full AUM trend chart and 7 historical filings spanning 1+ years

Registration

Status—

Registration Date—

SEC RegisteredYes

Exempt ReportingNo

⚡ Succession Risk Score

Our proprietary 5-pillar model analyzes founder tenure, ownership concentration, AUM dependency, and more to score transition risk.

📊 Peer Benchmarking

See how this firm ranks against peers nationally and by state across AUM growth, efficiency, team size, and 16 other metrics.

👥 Owners & Officers

View the complete ownership structure from SEC Schedule A/B filings, including control persons and their tenure.

🏦 Client Demographics

Detailed breakdown of client types including individuals, high-net-worth, institutions, pension plans, and charitable organizations.

Get the full picture on NORMAN L. YU & COMPANY, INC.

Succession risk scoring, peer benchmarking, ownership structure, private fund details, and 20+ years of filing history.