Diana Yang
Professional Summary
Diana Yang, who also goes by Diana Heami Yang, was a registered financial advisor. Diana was a previously registered financial professional and started their career in finance 2023 - 2026. Diana had worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Diana Heami Yang
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
3 years in the financial services industry
Current & Past Employments
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Current Firm
KAIROS | REDWOOD-KAIROS REAL ESTATE PARTNERS | REDWOOD-KAIROS REAL ESTATE | REDWOOD-KAIROS IV GP, LLC (RELYING ADVISER) | REDWOOD REAL ESTATE PARTNERS, LLC (RELYING ADVISER) | REDWOOD REAL ESTATE PARTNERS, LLC | REDWOOD REAL ESTATE PARTNERS | KIMC | KAIROS INVESTMENT MANAGEMENT COMPANY, LLC | KAIROS IMPACT GP, LLC (RELYING ADVISER)
Contact Information
Main Address
18101 Von Karman Avenue Suite 1100, Irvine, CA 92612Phone Number
(949) 709-8888# of Employees
50SEC notice filing (2 States and Territories)
Registered to provide investment advisory services in 2 US states and territories.
Regulatory Assets Under Management
Total Number of Accounts
15AUM (Assets Under Management)
$897,240,576Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Withdrawn | 3/31/2015 |
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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.
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Primary Firm SEC Registration
KAIROS | REDWOOD-KAIROS REAL ESTATE PARTNERS | REDWOOD-KAIROS REAL ESTATE | REDWOOD-KAIROS IV GP, LLC (RELYING ADVISER) | REDWOOD REAL ESTATE PARTNERS, LLC (RELYING ADVISER) | REDWOOD REAL ESTATE PARTNERS, LLC | REDWOOD REAL ESTATE PARTNERS | KIMC | KAIROS INVESTMENT MANAGEMENT COMPANY, LLC | KAIROS IMPACT GP, LLC (RELYING ADVISER)
State Registrations and Notice Filings
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.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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