KONDO WEALTH ADVISORS, INC
Adviser information for KONDO WEALTH ADVISORS, INC last updated from Form ADV on March 27th, 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 | California, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,115 | $263.8M |
| Non-Discretionary | 0 | $0 |
| Total | 1,115 | $263.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 283 | $78.0M |
| HNW Individuals | 114 | $180.1M |
| 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 | 0 | $0 |
| Charitable organizations | <5 | $865,677 |
| 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 | 5 | $4.8M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 5 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-96308 |
|---|---|
| SEC ERA File Number | 801-96308 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 175347 |
| Legal Entity Identifier | None |
Principal Office
921 EAST GREEN STREETPASADENA
CA
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: 626-449-7783, Fax: 626-449-7785
Chief Compliance Officer
JOANIE MORIOKA
CHIEF OPERATING OFFICER
921 EAST GREEN STREET
PASADENA
CA
United States
Tel:
626-449-7783
Fax:
626-449-7785
J*****@**********************M
(Full email address available in API data)
Regulatory Contact
AKEMI KONDO DALVI
CHIEF OPERATING OFFICER
921 EAST GREEN STREET
PASADENA
CA
United States
Tel:
626-449-7783
Fax:
626-449-7785
A****@**********************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 |
|---|---|---|---|---|---|
| DALVI, AKEMI, KONDO | Individual | – | CHIEF EXECUTIVE OFFICER | 07/2014 | > 75% |
| MORIOKA, JOANIE, RYOKO | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2020 | < 5% |