Kathleen M. Focht

SAPERE WEALTH MANAGEMENT

MATTHEWS, NC 28501

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CRD#: 4342252

Professional summary

Kathleen M Focht, who also goes by Kathleen M Johnson, is a registered financial advisor currently at SAPERE WEALTH MANAGEMENT, LLC located in Matthews, North Carolina.

Kathleen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Kathleen has worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kathleen M Johnson

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 Kathleen M Focht'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

March 8, 2005 - Present

SAPERE WEALTH MANAGEMENT, LLC

Office #1: 130 Matthews Sta St #2a, Matthews, NC 28501

RIA

CRD#: 119598

MATTHEWS, NC

Past

December 10, 2004 - November 16, 2010

SAPERE WEALTH CREATION, LLC

CRD#: 121561

CHARLOTTESVILLE, VA

Past

September 17, 2001 - January 1, 2002

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

September 17, 2001 - December 15, 2004

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

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".

SAPERE WEALTH MANAGEMENT, LLC

CRD#: 119598 / SEC#: 801-61056

RIA

Registered Investment Advisory firm - (4/5/2002 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

Virginia
(3/8/2005)

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

IAR

Series 65

Date: 3/7/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/18/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/24/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/15/2001

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SAPERE WEALTH MANAGEMENT, LLC

CRD#: 119598 / SEC#: 801-61056

RIA

Registered Investment Advisory firm - (4/5/2002 Approved)

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Contact information

Main Address

130 Matthews Station St. Suite 2a, Matthews, NC 28105

Mailing Address

Phone number

(704) 321-5244

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAPERE WEALTH MANAGEMENT - PART 2A (3/21/2025)

Regulatory assets under management

Total Number of Accounts	252
AUM (Assets Under Management)	$ 346,213,230

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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Firm Stability Insights

Kathleen M. Focht

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen M Focht's CRS (Customer Relationship Summary).

Certified licenses

Experience

SAPERE WEALTH CREATION, LLC

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

SAPERE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/7/2005

Series 63

Date: 8/18/2001

Series 7

Date: 9/24/2002

Series 6

Date: 9/15/2001

Current Firm

SAPERE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAPERE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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