Kirk S. Okumura

APELLA WEALTH

Berwyn, PA 19312

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CRD#: 3017402

Professional summary

Kirk Shotaro Okumura is a registered financial advisor currently at APELLA WEALTH located in Berwyn, Pennsylvania.

Kirk is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Kirk has worked at 3 firms and has passed the Series 6 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

DBA Kirk Okumura, 1003 Stirling St, Coatesville PA 19320. Business is not investment related. I am serving as a peer reviewer for academic content and as an adjunct instructor for the Financial Services Certified Professional (FSCP) program with The American College of Financial Services. Started on 1/1/205. Approximately 20 hours/month all occurring outside of trading hours. Duties involve answering student questions to course work. I am an independent contractor.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kirk Shotaro Okumura'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

January 14, 2025 - Present

APELLA WEALTH

Office #1: 1205 Westlakes Drive Suite 100, Berwyn, PA 19312

RIA

CRD#: 171106

Berwyn, PA

Past

January 23, 2012 - November 2, 2016

HOEY INVESTMENTS, INC.

RIA

CRD#: 152103

WEST CHESTER, PA

Past

June 5, 1998 - April 24, 2001

STATE FARM VP MANAGEMENT CORP.

CRD#: 43036

BLOOMINGTON, IL

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".

APELLA WEALTH

APELLA CAPITAL | APELLA WEALTH | APELLA CAPITAL, LLC

CRD#: 171106 / SEC#: 801-79650

RIA

Registered Investment Advisory firm - (4/29/2014 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.

Highlighted states indicate IAR registrations

IAR

Connecticut
(1/14/2025)

IAR

Pennsylvania
(1/14/2025)

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

General Industry/Product Exam

Series 6

Date: 6/4/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

APELLA WEALTH

APELLA CAPITAL | APELLA WEALTH | APELLA CAPITAL, LLC

CRD#: 171106 / SEC#: 801-79650

RIA

Registered Investment Advisory firm - (4/29/2014 Approved)

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Contact information

Main Address

65 Memorial Drive Suite C340, West Hartford, CT 06107

Mailing Address

Phone number

(860) 785-2260

Established

Firm type

Fiscal year end

# of Employees

140

SEC notice filing (44 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APELLA WEALTH PART 2A OCTOBER 2025 (10/28/2025)

Regulatory assets under management

Total Number of Accounts	19,172
AUM (Assets Under Management)	$ 7,953,076,688

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/24/2025	Cover Page	Report
03/29/2024	Cover Page	Report
04/30/2023	Cover Page	Report

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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Kirk S. Okumura

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kirk Shotaro Okumura's CRS (Customer Relationship Summary).

Certified licenses

Experience

APELLA WEALTH

HOEY INVESTMENTS, INC.

STATE FARM VP MANAGEMENT CORP.

Primary Firm SEC Registration

APELLA WEALTH

State Registrations and Notice Filings

Exams

Series 6

Date: 6/4/1998

Current Firm

APELLA WEALTH

Contact information

SEC notice filing (44 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

APELLA WEALTH

TRUST BUT VERIFY

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