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Kane Investment Management, Inc.

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Client assets under management

$240,524,560

Clients

191

17% high-net worth

Advisors

6

of 9 employees

Firm type

Team

4-10 advisors or $500M+ in AUM

Clients per advisor

32

Very Low

Average account size

$1,259,291

About

Kane Investment Management provides portfolio management and related advisory services to individuals, high net worth clients, families, corporate pension and profit-sharing plans, 401(k) participants, trusts and estates. The firm customizes advice to client objectives and, upon request, will provide financial planning as part of its account management services.

The firm’s investment process combines charting with fundamental and technical analysis and relies on corporate ratings, third‑party research, regulatory filings and market publications to form investment decisions. Implementation strategies include long- and short-term purchases, active trading and margin transactions, and the firm uses a third‑party platform (Pontera) to review and rebalance held-away defined contribution accounts without taking custody.

Distinctive features include the firm’s use of performance‑based fee arrangements with qualified clients under exemptions to the Advisers Act, a practice that the brochure notes requires procedures to address potential conflicts of interest. Kane also employs borrowing in separately managed accounts (margin) and supplements standard custodial statements with continuous internal monitoring and semi‑annual performance reviews.

Client services

Financial planning Portfolio management

Expertise

Wealth management

Fee options

Percentage

$0 - $50,000: 0.375% quarterly $50,000 - $100,000: $188 + 0.350% of value over $50,000 quarterly $100,000 - $500,000: $363 + 0.325% of value over $100,000 quarterly $500,000 - $1,000,000: $1,663 + 0.250% of value over $500,000 quarterly $1,000,000 - $2,500,000: $2,913 + 0.240% of value over $1,000,000 quarterly $2,500,000 - $5,000,000: $6,513 + 0.200% of value over $2,500,000 quarterly $5,000,000+: $11,513 + 0.180% of value over $5,000,000 quarterly

Performance-based

Performance fee with qualified clients having at least $1.1M AUM or $2.2M liquid net worth. Fee is 20% of premium return over S&P 500 benchmark, calculated semi-annually in arrears.

Other

Minimum fee: Minimum quarterly fee of $100 for accounts $0 to $50,000

Main office location

Kane Investment Management, Inc.

15466 Los Gatos Blvd., Suite 213

Los Gatos CA 95032, United States

Number of offices

1

Most active in

Arizona · California · Texas

Disclosures

Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.

Business activities & affiliations

Advisors at this firm

user avatar

Emebet E

Series 65

Los Gatos, CA

Kane Investment Management, Inc.

Emebet Estifanos is a financial advisor at Kane Investment Management, Inc. in Los Gatos, CA, holding a Series 65 designation with one year of industry experience. Prior to joining Kane Investment Management, she worked at The Blakeley Group and T3 Trading Group, LLC, and spent six years at Oracle Corporation. Kane Investment Management provides investment account management and advisory services to individuals, high-net-worth clients, 401(k) plans, trusts, and estates, utilizing a combination of charting, fundamental and technical analysis to manage portfolios across various securities. The firm offers discretionary account management with ongoing performance reviews and financial planning options.

Wealth management
user avatar

Charles D

Series 65

Los Gatos, CA

Kane Investment Management, Inc.

Charles Davis is a financial advisor at Kane Investment Management, Inc. in Los Gatos, CA, holding a Series 65 designation with 26 years of industry experience. He has been with The Kane Group since 1998. Kane Investment Management, Inc. provides investment account management and advisory services to individuals, high-net-worth clients, 401(k) plans, trusts, and estates, using a combination of charting, fundamental, and technical analysis to construct portfolios tailored to client objectives. The firm manages a range of securities and offers discretionary account management with performance reviews and financial planning available.

Wealth management
user avatar

Reese R

Series 65

Los Gatos, CA

Kane Investment Management, Inc.

Reese Rifredi is a financial advisor with Kane Investment Management, Inc. in Los Gatos, CA, holding a Series 65 credential and two years of industry experience. His prior work includes roles at Optimist Made, Get Smart Labs, Loyola Marymount University, and RPM Training. Kane Investment Management provides tailored investment account management and advisory services to individuals, high-net-worth clients, 401(k) plans, trusts, and estates. The firm employs a combination of charting, fundamental and technical analysis to manage equity and fixed income portfolios, typically on a discretionary basis.

Wealth management
user avatar

Amy R

Series 65

Los Gatos, CA

Kane Investment Management, Inc.

Amy Rockom is a Series 65-credentialed financial advisor with 12 years of industry experience. She has been with Kane Investment Management, Inc. since 2011. Kane Investment Management, Inc. provides investment account management and advisory services to individuals, high-net-worth clients, 401(k) plans, trusts, and estates. The firm uses a combination of charting, fundamental, and technical analysis to construct portfolios and employs various implementation tools, including long-term and short-term purchases, trading, and margin transactions.

Wealth management
user avatar

Manjeshwar B

Series 65

Los Gatos, CA

Kane Investment Management, Inc.

Manjeshwar Bhat is a financial advisor with Kane Investment Management, Inc. in Los Gatos, CA, holding a Series 65 designation and 16 years of industry experience. He has been with Kane Investment Management since 2009. Kane Investment Management provides tailored investment account management and advisory services to individuals, high-net-worth clients, 401(k) plans, trusts, and estates. The firm uses a combination of charting, fundamental and technical analysis to manage portfolios, typically on a discretionary basis, and offers performance-based fee arrangements for qualified clients.

Wealth management
user avatar

Dennis K

Series 63

Los Gatos, CA

Kane Investment Management, Inc.

Dennis Kane is a financial advisor at Kane Investment Management, Inc. in Los Gatos, CA, with seven years of industry experience. He holds a Series 63 designation and is part of a six-advisor team at the firm. Kane Investment Management, Inc. provides investment account management and advisory services to individuals, high-net-worth clients, 401(k) plans, trusts, and estates, utilizing a mix of charting, fundamental and technical analysis to construct portfolios. The firm manages various securities including equities and U.S. government securities, generally on a discretionary basis, and offers performance-based fee arrangements for qualified clients.

Wealth management
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