Diana H. Yang

KAIROS

Irvine, CA 92612

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CRD#: 7659581

Professional summary

Diana Heami Yang, who also goes by Diana Heami Yang, is a registered financial advisor currently at KAIROS located in Irvine, California and FORESIDE FUND SERVICES, LLC located in Irvine, California.

Diana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Diana has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Diana Heami Yang

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diana Heami Yang's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 23, 2025 - Present

KAIROS

Office #1: 18101 Von Karman Avenue Suite 1100, Irvine, CA 92612

RIA

CRD#: 161321

Irvine, CA

Current

December 2, 2024 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 18101 Von Karman Suite 1100, Irvine, CA 92612

CRD#: 46106

Irvine, CA

Past

August 22, 2023 - November 5, 2024

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 108928

Santa Monica, CA

Past

March 10, 2023 - November 5, 2024

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

SANTA MONICA, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

KAIROS

CRD#: 161321 / SEC#: 801-88197

RIA

Registered Investment Advisory firm - (4/9/2015 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(1/3/2025)

Alaska
(1/3/2025)

Arizona
(1/3/2025)

Arkansas
(1/3/2025)

California
(12/2/2024)

IAR

California
(1/23/2025)

Colorado
(1/3/2025)

Connecticut
(1/3/2025)

Delaware
(1/3/2025)

District of Columbia
(1/3/2025)

Florida
(1/3/2025)

Georgia
(1/3/2025)

Hawaii
(1/3/2025)

Idaho
(1/3/2025)

Illinois
(1/3/2025)

Indiana
(1/3/2025)

Iowa
(1/3/2025)

Kansas
(1/3/2025)

Kentucky
(1/3/2025)

Louisiana
(1/3/2025)

Maine
(1/3/2025)

Maryland
(1/3/2025)

Massachusetts
(1/3/2025)

Michigan
(1/3/2025)

Minnesota
(1/3/2025)

Mississippi
(1/3/2025)

Missouri
(1/3/2025)

Montana
(1/6/2025)

Nebraska
(1/3/2025)

Nevada
(1/3/2025)

New Hampshire
(1/3/2025)

New Jersey
(1/3/2025)

New Mexico
(1/3/2025)

New York
(1/3/2025)

North Carolina
(1/3/2025)

North Dakota
(1/3/2025)

Ohio
(1/3/2025)

Oklahoma
(1/3/2025)

Oregon
(1/3/2025)

Pennsylvania
(1/3/2025)

Puerto Rico
(1/3/2025)

Rhode Island
(1/3/2025)

South Carolina
(1/3/2025)

South Dakota
(1/3/2025)

Tennessee
(1/3/2025)

Texas
(1/3/2025)

Utah
(1/3/2025)

Vermont
(1/3/2025)

Virgin Islands
(1/3/2025)

Virginia
(1/3/2025)

Washington
(1/3/2025)

West Virginia
(1/3/2025)

Wisconsin
(1/3/2025)

Wyoming
(1/3/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/22/2023

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/10/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 1/13/2023

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

KAIROS

CRD#: 161321 / SEC#: 801-88197

RIA

Registered Investment Advisory firm - (4/9/2015 Approved)

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Contact information

Main Address

18101 Von Karman Avenue Suite 1100, Irvine, CA 92612

Mailing Address

Phone number

(949) 709-8888

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

KAIROS ADV PART 2A_03.2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	18
AUM (Assets Under Management)	$ 992,312,340

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
SEC	ERA - Withdrawn	3/31/2015

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Diana H. Yang

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diana Heami Yang's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESIDE FUND SERVICES, LLC

BLACKROCK INVESTMENT MANAGEMENT, LLC

BLACKROCK INVESTMENTS, LLC

Primary Firm SEC Registration

KAIROS

State Registrations and Notice Filings

Exams

Series 66

Date: 8/22/2023

Series 7TO

Date: 3/10/2023

SIE

Date: 1/13/2023

FINRA

Current Firm

KAIROS

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

KAIROS

TRUST BUT VERIFY

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