Akemi K. Dalvi
KONDO WEALTH ADVISORS,
Pasadena, CA 91106
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CRD#: 5617765
Professional summary
Akemi Kondo Dalvi, CFP®, who also goes by Akemi Kondo, is a registered financial advisor currently at KONDO WEALTH ADVISORS, INC located in Pasadena, California and PURSHE KAPLAN STERLING INVESTMENTS located in Torrance, California.
Akemi is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Akemi has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Akemi Kondo
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.
(1) KONDO WEALTH ADVISORS (RIA); INVESTMENT RELATED; 921 East Green Street, Pasadena CA 91106; FINANCIAL AND RETIREMENT PLANNING SERVICES AND PRODUCTS; OWNER; MARCH 2008 START DATE; DEVOTE 160 HRS/MO TO BUSINESS TOTAL; DEVOTE 100 HRS/MO TO BUSINESS DURING SECURITIES TRADING HOURS; DUTIES INCLUDE PREPARATION OF COMPREHENSIVE FINANCIAL PLANS, LIFE INSURANCE, LONG TERM CARE AND INVESTMENT ANALYSIS. (2) AKEMI DALVI, CPA; NOT INVESTMENT RELATED; ACTIVE LICENSE; NON-PRACTICING; 0 HOURS/MONTH. (3) PKSF-Investment related-80 State St, Albany, NY 12207-fixed insurance & long term care insurance sales-agent-3/2016-5 hrs/mth-100% during trading hrs (4) ) Rental Property 921 East Green Street, Pasadena, CA 91106. Not investment related. Owner 7/2021. 2 hrs/mo. Landlord duties. (5) Pasadena Green Street Investments, LLC, Investment Related, Owner/Manager, 07/2021, Pasadena, CA, Rental Proper, 2hrs/mo. 2 trade hrs/mo. (6) Author / Columnist / Public Speaker; INVESTMENT RELATED; 921 East Green Street, Pasadena, CA 91106; providing financial education; Author / Columnist /Speaker; 2019; HRS/Month: 20; HRs During Securities Hours: 3-5; authored a book, write articles in community publications and engage in public speaking to share financial and market updates for educational purposes.
CRS (Client Relationship Summary) - RIA
Click below to view Akemi Kondo Dalvi'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®
CFP®
Start date: 2019
Experience
Current
June 25, 2015 - Present
KONDO WEALTH ADVISORS, INC
Office #1: 921 East Green Street, Pasadena, CA 91106RIA
CRD#: 175347
Pasadena, CA
Current
June 30, 2011 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 21250 Hawthorne Blvd Suite 500, Torrance, CA 90503Office #2: 921 East Green Street, Pasadena, CA 91106BD
CRD#: 35747
Torrance, CA
Past
July 26, 2011 - June 5, 2015
KONDO WEALTH ADVISORS
RIA
CRD#: 134998
PASADENA, CA
Past
March 16, 2010 - July 5, 2011
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
PASADENA, CA
Past
February 9, 2010 - July 5, 2011
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PASADENA, 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".
KW
KONDO WEALTH ADVISORS, INC
KONDO WEALTH ADVISORS, INC
CRD#: 175347 / SEC#: 801-96308
RIA
Registered Investment Advisory firm - (5/20/2015 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(6/30/2011)
IAR
California(6/25/2015)
RR
Colorado(2/28/2023)
RR
Maine(2/28/2023)
RR
Nevada(7/9/2014)
RR
Oregon(10/4/2024)
IAR
Texas(4/4/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KW
KONDO WEALTH ADVISORS, INC
KONDO WEALTH ADVISORS, INC
CRD#: 175347 / SEC#: 801-96308
RIA
Registered Investment Advisory firm - (5/20/2015 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
921 East Green Street, Pasadena, CA 91106
Mailing Address
Phone number
(626) 449-7783
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,108 |
| AUM (Assets Under Management) | $ 306,385,071 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
