ML
Max A. Lepley
KANANI ADVISORY GROUP
IRVINE, CA 92618
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CRD#: 6956791
ML
Professional summary
Max Alan Lepley is a registered financial advisor currently at KANANI ADVISORY GROUP INC. located in Irvine, California and KINETIC INVESTMENT MANAGEMENT, INC. located in Irvine, California.
Max is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Max has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO and SIE exams.
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.
CRS (Client Relationship Summary) - RIA
Click below to view Max Alan Lepley'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®
NoneExperience
Current
October 17, 2024 - Present
KANANI ADVISORY GROUP INC.
Office #1: 16440 Bake Parkway Suite 150, Irvine, CA 92618RIA
CRD#: 288314
IRVINE, CA
Current
April 22, 2026 - Present
KINETIC INVESTMENT MANAGEMENT, INC.
Office #1: 16440 Bake Parkway Suite 150, Irvine, CA 92618RIA
CRD#: 283034
Irvine, CA
Past
December 13, 2022 - May 29, 2024
MFS INSTITUTIONAL ADVISORS INC.
RIA
CRD#: 107144
BOSTON, MA
Past
November 12, 2019 - May 29, 2024
MFS FUND DISTRIBUTORS, INC.
BD
CRD#: 31052
PHOENIX, AZ
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".
KI
KINETIC INVESTMENT MANAGEMENT, INC.
300 FINANCIAL GROUP | WEALTH PROTECTION PARTNERS | TOOLSON CAPITAL MANAGEMENT | THRIVERIGHT FINANCIAL GROUP, LLC | THE DIRECT EFFECT | TERRA FIRMA FINANCIAL ADVISORY | STONEBRIAR FINANCIAL | SMRS FINANCIAL ADVISORY | SAFE MONEY RETIREMENT STRATEGIES | SAFE HARBOR SOLUTIONS | RTA & ASSOCIATES | RETIREMENT TRANSITIONS LLC | PROVOST FINANCIAL SERVICES | PRECISE FINANCIAL SOLUTIONS | OZMENT AGENCY | MITCHELL FINANCIAL GROUP | MAXGUARD WEALTH | KINETIC INVESTMENT MANAGEMENT, INC. | KINETIC FINANCIAL | KINETIC AGENCY | FS2 FINANCIAL SERVICES | COTTER FINANCIAL GROUP LLC | CAPITAL INSURANCE GROUP | BUSSENGER FINANCIAL GROUP | BIGGS FINANCIAL SERVICES | BETTRLIFE FINANCIAL SERVICES LLC | BALDWIN FINANCIAL GROUP
CRD#: 283034 / SEC#: 801-118383
RIA
Registered Investment Advisory firm - (4/8/2020 Approved)California
Registered Investment Advisory firm - (5/16/2020 Terminated)Illinois
Registered Investment Advisory firm - (4/8/2020 Terminated)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(10/17/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/31/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 11/12/2019
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
Current Firm
KI
KINETIC INVESTMENT MANAGEMENT, INC.
300 FINANCIAL GROUP | WEALTH PROTECTION PARTNERS | TOOLSON CAPITAL MANAGEMENT | THRIVERIGHT FINANCIAL GROUP, LLC | THE DIRECT EFFECT | TERRA FIRMA FINANCIAL ADVISORY | STONEBRIAR FINANCIAL | SMRS FINANCIAL ADVISORY | SAFE MONEY RETIREMENT STRATEGIES | SAFE HARBOR SOLUTIONS | RTA & ASSOCIATES | RETIREMENT TRANSITIONS LLC | PROVOST FINANCIAL SERVICES | PRECISE FINANCIAL SOLUTIONS | OZMENT AGENCY | MITCHELL FINANCIAL GROUP | MAXGUARD WEALTH | KINETIC INVESTMENT MANAGEMENT, INC. | KINETIC FINANCIAL | KINETIC AGENCY | FS2 FINANCIAL SERVICES | COTTER FINANCIAL GROUP LLC | CAPITAL INSURANCE GROUP | BUSSENGER FINANCIAL GROUP | BIGGS FINANCIAL SERVICES | BETTRLIFE FINANCIAL SERVICES LLC | BALDWIN FINANCIAL GROUP
CRD#: 283034 / SEC#: 801-118383
RIA
Registered Investment Advisory firm - (4/8/2020 Approved)California
Registered Investment Advisory firm - (5/16/2020 Terminated)Illinois
Registered Investment Advisory firm - (4/8/2020 Terminated)PREMIUM
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Contact information
Main Address
633 W 5th Street Suite 1050, Los Angeles, CA 90071
Mailing Address
Phone number
(800) 711-4818
Established
Firm type
Fiscal year end
# of Employees
31
SEC notice filing (25 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,857 |
| AUM (Assets Under Management) | $ 348,218,341 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
