KTF INVESTMENTS, LLC

C36
CRD 337465·SEC 801-134137·SEAL BEACH, CA
AUM
$700.2M
$500M-$1B
Est. Revenue
$7.0M
@ 1% on AUM
Est. EBITDA
$2.1M
@ 30% margin
Est. Deal Value
$16.8M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
KTF INVESTMENTS, LLC
CRD
337465
SEC file #
801-134137
EIN
000000000
DBA names

Economics

AUM
$700.2M
AUM band
$500M-$1B
AUM trajectory
Client mix
Individuals High Net Worth109
Individuals Other75

Operations

Employees (total)
7
Advisory staff (per ADV)
4
Advisory staff (5-yr trend)
'25'26
3 advisors → 4 advisors▲ +33%
Primary office
SEAL BEACH CA
Branches

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Financial planningPortfolio mgmt — individualsPension consultingSelection of other advisers
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
03/19/2026
ADV-W filed at

Compliance

Disclosures (firm)
0
Trademark
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
AXEL, JOSHUA, R.
Top Owner Pct
62.5
Top Owner Entity Kind
I
Owner Count
5
Control Persons
AXEL, JOSHUA, R.
Sansone, Jess, Donato
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
KTFINVESTMENTS.COM
Rdap Domain Creation Date
2025-04-03T02:25:04Z
Rdap Firm Age Years
1
Rdap Firm Age Band
<5y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0002099997
Edgar Registered
Yes
Edgar Filing Count
2
Edgar First Filing Date
2026-01-30
Edgar Last Filing Date
2026-05-04
Edgar 13f Count
2
Edgar 13f Latest AUM Estimate
Filing Date2026-05-04
Accession0002099997-26-000002

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.3688
Soi Zip Pct 200k Plus
0.1611
Soi Zip Returns 200k Plus
2,210
Soi Zip Total AGI
1,898,379
Fdic Zip Total Deposits
52,491,525,000
Fdic Zip Branch Count
405
Fdic Zip Top Banks
Wells Fargo Bank, National Association
Farmers and Merchants Bank of Long Beach

Compliance & brand

Firm Registration Status
active

All other collected signals (27)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
1
Bc Firm Active IA Count
4
Bc Firm IAR Count
4
Custodian Candidates
Full
E*trade4
Charles Schwab3
Edgar Addresses
Mailing
13001 SEAL BEACH BOULEVARD# 250SEAL BEACH, CA 90740
Business
13001 SEAL BEACH BOULEVARD# 250SEAL BEACH, CA 90740
Edgar EIN
000000000
Edgar Recent Filings
13F-HR2026-05-04 · 0002099997-26-000002
13F-HR2026-01-30 · 0002099997-26-000001
Fdic Zip Branches Raw
Farmers and Merchants Bank of Long BeachSeal Beach, CA
First Interstate Bank of CaliforniaSeal Beach, CA
Fdic Zip HHI
1075.15
Fdic Zip Top Bank Share Pct
23.43
Fdic Zip Year
2025
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2030-04-03T02:25:04Z
Rdap Domain Last Changed
2025-04-03T02:25:04Z
Rdap Nameservers
Ns01.domaincontrol.comNs02.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI36,982
Returns3,360
Stub 2
AGI77,179
Returns2,090
Stub 3
AGI111,030
Returns1,780
Soi Zip Total Business Income
48,099
Soi Zip Total Cap Gains
149,244
Soi Zip Total Dividends
69,927
Soi Zip Total Returns
13,720
Top Owner CRD
4227334
Trust Company Affiliate
No