# Kane Financial

> Kane Financial is an SEC-registered investment advisory firm in Waterville, NY, registered since 2021, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 12, 2026.

- CRD: 291231
- Filed as: KANE FINANCIAL
- Legal name: Kane Financial, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Waterville, NY
- Filing period: October 2026
- Form ADV filing dated: March 12, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/291231
- AdvisorCensus page: https://advisorcensus.com/firm/kane-financial-waterville-ny-291231

## Quick answers

**How is Kane Financial compensated?**
On its Form ADV (Item 5.E, October 2026), Kane Financial reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**Where is Kane Financial located?**
Kane Financial's principal office is in Waterville, NY, according to its Form ADV.

**Is Kane Financial registered with the SEC or a state?**
Kane Financial is an SEC-registered investment advisory firm, registered since 2021. Status as filed: Approved. CRD 291231.

**How much does Kane Financial manage?**
Kane Financial reports $75,174,312 in regulatory assets under management in its Form ADV filing dated March 12, 2026 (99% discretionary).

**How have Kane Financial's assets and staff changed since 2021?**
In the Form ADV data for Kane Financial: Regulatory assets under management: $29,164,903 in the October 2021 data and $75,174,312 in the October 2026 data, up 158%. Total employees: 2 in October 2021 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Kane Financial serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (276); high net worth individuals (20).

**Which custodians does Kane Financial use?**
Kane Financial's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does Kane Financial report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/291231

**Does Kane Financial state an account minimum?**
Its Form ADV Part 2A brochure dated March 12, 2026 says: "We do not have a minimum account size requirement to open or maintain an account under our management."

**What changed in Kane Financial's recent Form ADV filings?**
In the April 2026 filing data: Employees performing advisory functions went from 1 to 2. Regulatory assets under management went from $56,644,536 to $75,174,312 (+33%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated March 12, 2026)

- Account minimum: None

> We do not have a minimum account size requirement to open or maintain an account under our management.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $75,174,312
- Discretionary: $74,303,260
- Non-discretionary: $871,052

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 276 | $49,706,176 |
| High net worth individuals | 20 | $23,887,145 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 | $871,052 |
| Charitable organizations | Fewer than 5 | $709,939 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services

### Firm details
- Registered since: 2021 (5 years)
- Employees: 4 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: FL, NY, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- kanefp.com
- Facebook @kanefp
- Instagram @kanefinancial

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $29,164,903 | 2 | September 28, 2021 |
| October 2022 | $32,026,096 | 2 | April 19, 2022 |
| October 2023 | $37,163,005 | 2 | September 19, 2023 |
| October 2024 | $44,356,924 | 2 | February 27, 2024 |
| October 2025 | $56,644,536 | 3 | June 26, 2025 |
| October 2026 | $75,174,312 | 4 | March 12, 2026 |

Regulatory assets under management: $29,164,903 in the October 2021 data and $75,174,312 in the October 2026 data, up 158%.
Total employees: 2 in October 2021 and 4 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Employees performing advisory functions went from 1 to 2.
- Regulatory assets under management went from $56,644,536 to $75,174,312 (+33%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Kane Financial (CRD 291231): Form ADV filing data as of October 2026.