Jim S. Nakamura

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CRD#: 7159520

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Jim Shoji Nakamura, who also goes by Jim Shoji Nakamura, was a registered financial professional .

Jim is a previously registered financial professional and started their career in finance in 2019. Jim had worked at 3 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Shoji Nakamura

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.

Name of other business: Real Living Diamond Realtors Is it investment related? no Address:755 N Peach Ave #11 Clovis CA 93611 Nature of business: Real Estate Position/Title/Relationship: Salesperson Start date of your relationship: October 2015 Number of hours devoted during securities trading hours: 0 Number of hours devoted outside of securities trading hours: 0 Brief description of duties: Real Estate salesperson Name of other business: St. Agnes Foundation Is it investment related? No Address: 1111 E Spruce Ave Fresno, CA 93720 Nature of business: Non Profit Position/Title/Relationship: Board Member Start date of your relationship: 10/1/2017 Number of hours devoted during securities trading hours: 0 Number of hours devoted outside of securities trading hours: 3 Brief description of duties: help w/ events and health care needs Name of other business: Youth for Christ Is it investment related? No Address: 1401 Divisadero St Fresno, CA 93721 Nature of business: Nonprofit Position/Title/Relationship: Board Member Start date of your relationship: 9/16/2020 Number of hours devoted during securities trading hours: 1 Number of hours devoted outside of securities trading hours: 2 Brief description of duties: helping guide nonprofit in a responsible manner

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 27, 2022 - August 16, 2023

PINION WEALTH MANAGEMENT, LLC

RIA

CRD#: 114556

Fresno, CA

Past

March 15, 2022 - August 17, 2022

THE FOUNDATION WEALTH MANAGEMENT, LLC

RIA

CRD#: 292093

FRESNO, CA

Past

September 27, 2019 - April 20, 2020

REGENCY INVESTMENT ADVISORS INC

RIA

CRD#: 106990

FRESNO, 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".

PINION WEALTH MANAGEMENT, LLC

KC ADVISORS, LLC | PINION WEALTH MANAGEMENT, LLC | PINION INVESTMENT ADVISORS, LLC | KCOE WEALTH MANAGEMENT, LLC | KC INVESTMENT ADVISORS, LLC

CRD#: 114556 / SEC#: 801-63322

RIA

Registered Investment Advisory firm - (7/2/2004 Approved)

Colorado

Registered Investment Advisory firm - (7/26/2004 Terminated)

Kansas

Registered Investment Advisory firm - (10/20/2005 Terminated)

Nebraska

Registered Investment Advisory firm - (7/30/2004 Terminated)

Texas

Registered Investment Advisory firm - (7/22/2004 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 9/27/2019

Uniform Investment Adviser Law Examination

Current Firm

PINION WEALTH MANAGEMENT, LLC

KC ADVISORS, LLC | PINION WEALTH MANAGEMENT, LLC | PINION INVESTMENT ADVISORS, LLC | KCOE WEALTH MANAGEMENT, LLC | KC INVESTMENT ADVISORS, LLC

CRD#: 114556 / SEC#: 801-63322

RIA

Registered Investment Advisory firm - (7/2/2004 Approved)

Colorado

Registered Investment Advisory firm - (7/26/2004 Terminated)

Kansas

Registered Investment Advisory firm - (10/20/2005 Terminated)

Nebraska

Registered Investment Advisory firm - (7/30/2004 Terminated)

Texas

Registered Investment Advisory firm - (7/22/2004 Terminated)

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Contact information

Main Address

1605 North Waterfront Parkway Suite 200, Wichita, KS 67206

Mailing Address

Phone number

(316) 682-8344

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

ADV PART 2A-20250411 (4/16/2025)

Regulatory assets under management

Total Number of Accounts	1,340
AUM (Assets Under Management)	$ 649,043,048

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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Jim S. Nakamura

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PINION WEALTH MANAGEMENT, LLC

THE FOUNDATION WEALTH MANAGEMENT, LLC

REGENCY INVESTMENT ADVISORS INC

Primary Firm SEC Registration

PINION WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/27/2019

Current Firm

PINION WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PINION WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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