J.K. FINANCIAL, INC.
Adviser information for J.K. FINANCIAL, INC. last updated from Form ADV on March 12th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Texas, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 404 | $157.9M |
| Non-Discretionary | 0 | $0 |
| Total | 404 | $157.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 10 | $1.5M |
| HNW Individuals | 104 | $155.3M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $935,000 |
| Charitable organizations | <5 | $208,000 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMHourly charges |
Identifiers
| SEC RIA File Number | 801-116829 |
|---|---|
| SEC ERA File Number | 801-116829 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 114929 |
| Legal Entity Identifier | None |
Principal Office
8222 DOUGLAS AVESUITE 590
DALLAS
TX
United States
BY APPOINTMENT ONLY, 9:00 AM - 5:00 PM
Tel: 214-706-4300, Fax: 214-706-4262
Chief Compliance Officer
JOHN KVALE
8222 DOUGLAS AVE
SUITE 590
DALLAS
TX
United States
Tel:
214-706-4300
Fax:
214-706-4262
J***@*****************M
(Full email address available in API data)
Regulatory Contact
DONALD W. CAPONE
PORTFOLIO MANAGER
8222 DOUGLAS AVE
SUITE 590
DALLAS
TX
United States
Tel:
214-706-4300
Fax:
214-706-4262
D**@*****************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| KVALE, JOHN, ALLEN | Individual | – | PRESIDENT, CHIEF COMPLIANCE OFFICER, CHIEF INFORMATION SECURITY OFFICER | 06/2019 | > 75% |
| CAPONE, DONALD, WILLIAM | Individual | – | EXECUTIVE OFFICER | 06/2005 | < 5% |