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KAI WEALTH LLC

CHICAGO, IL · CRD 332136 · IAPD ↗ · 312-605-8020

$275.2MRegulatory AUM
2Advisory reps
6Employees
0Clients
1-10Planning clients
0Private funds
3States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

47
May 2026 — KAI WEALTH LLC notice-filed in AZ, TX.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
78
May 2026 — KAI WEALTH LLC now offers financial planning (Item 5G(1)).
Firm now reports offering financial planning (Item 5G(1)). They need planning software.
Financial planning softwareCRM
68
April 2026 — KAI WEALTH LLC reported RAUM up 54% ($174.6M -> $269.2M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
67
December 2025 — KAI WEALTH LLC reported RAUM up 62% ($108.0M -> $174.6M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
50
February 2025 — KAI WEALTH LLC shrank from 4 to 2 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
70
February 2025 — KAI WEALTH LLC's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
85
November 2024 — KAI WEALTH LLC (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.