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JK

James E. Koch

KOCH CAPITAL MANAGEMENT LLC
Alamo, CA 94507
Some features on this profile are disabled
CRD#: 5604620
JK

Professional summary

James Edward Koch is a registered financial advisor currently at KOCH CAPITAL MANAGEMENT LLC located in Alamo, California.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. James has worked at 1 firm and has passed the Series 65 exam.

top-8-questions

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Edward Koch's 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

November 12, 2008 - Present

KOCH CAPITAL MANAGEMENT LLC

Office #1: 3153 Via Larga, Alamo, CA 94507
RIA
CRD#: 148575
Alamo, CA

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
(11/12/2008)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/4/2008
Uniform Investment Adviser Law Examination

Current Firm

KC
KOCH CAPITAL MANAGEMENT LLC
KOCH CAPITAL MANAGEMENT LLC

CRD#: 148575 / SEC#:

California
Registered Investment Advisory firm - (11/12/2008 Approved)
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Contact information

Main Address
3153 Via Larga, Alamo, CA 94507
Mailing Address
Phone number
(925) 526-5624
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts114
AUM (Assets Under Management)$ 46,721,556

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.

Company Information

KOCH CAPITAL MANAGEMENT LLC

CRD#: 148575Alamo, CA 94507

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