Dennis M. Kane

KANE INVESTMENT MANAGEMENT

Los Gatos, CA 95032

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CRD#: 2087948

Professional summary

Dennis Michael Kane, who also goes by Dennis Kane, is a registered financial advisor currently at KANE INVESTMENT MANAGEMENT, INC. located in Los Gatos, California.

Dennis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Dennis has worked at 1 firm and has passed the Series 63 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dennis Kane

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 Dennis Michael Kane's CRS (Customer Relationship Summary).

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

April 13, 2018 - Present

KANE INVESTMENT MANAGEMENT, INC.

Office #1: 15466 Los Gatos Blvd. Suite 213, Los Gatos, CA 95032

RIA

CRD#: 127337

Los Gatos, 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".

KANE INVESTMENT MANAGEMENT, INC.

CRD#: 127337 / SEC#: 801-121604

RIA

Registered Investment Advisory firm - (6/29/2021 Approved)

California

Registered Investment Advisory firm - (8/19/2021 Terminated)

Texas

Registered Investment Advisory firm - (7/20/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

California
(4/13/2018)

IAR

Texas
(4/15/2025)

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.

Exams

State Security Law Exam

Series 63

Date: 8/9/1990

Uniform Securities Agent State Law Examination

Principal/Supervisory Exam

Series 24

Date: 10/4/1997

General Securities Principal Examination

Current Firm

KANE INVESTMENT MANAGEMENT, INC.

CRD#: 127337 / SEC#: 801-121604

RIA

Registered Investment Advisory firm - (6/29/2021 Approved)

California

Registered Investment Advisory firm - (8/19/2021 Terminated)

Texas

Registered Investment Advisory firm - (7/20/2021 Terminated)

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Contact information

Main Address

15466 Los Gatos Blvd. Suite 213, Los Gatos, CA 95032

Mailing Address

Phone number

(408) 358-5263

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	459
AUM (Assets Under Management)	$ 220,633,006

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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Dennis M. Kane

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis Michael Kane's CRS (Customer Relationship Summary).

Certified licenses

Experience

KANE INVESTMENT MANAGEMENT, INC.

Primary Firm SEC Registration

KANE INVESTMENT MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/9/1990

Series 24

Date: 10/4/1997

Current Firm

KANE INVESTMENT MANAGEMENT, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KANE INVESTMENT MANAGEMENT, INC.

TRUST BUT VERIFY

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