Kevin D. Lum
FOUNDRY FINANCIAL LLC | Founder & CEO
PASADENA, CA 91101
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CRD#: 7054281
Professional summary
Kevin Duane Lum, CFP®, who also goes by Kevin D Lum, is a registered financial advisor currently at FOUNDRY FINANCIAL LLC located in Pasadena, California.
Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Kevin has worked at 1 firm and has passed the Series 65 exam.
Biography
From selling rocks to opening a business in his parents’ garage to becoming the youngest Dish Network dealer, it was clear that Kevin has always been an entrepreneur and a desire to create value for other people.
After deciding to leave the for-profit world, he discovered a new passion working as an executive for an organization that focuses on providing medical care, food, and legal aid among other services to help the under-served. From there, he joined Sojourners and launched a national network of diverse leaders with the goal of reducing poverty. The network grew to 900 members in the first year and eventually to 6,000 members across forty-nine states and eleven countries.
While working to make the world a better place, Kevin couldn’t shake his passion for personal finance, investing, real estate, and helping people find the freedom to live their life with purpose. When his father died entirely too young, he went to help his mother find an advisor to sort out her finances. Instead of a helping hand, he found an industry of financial advisors dominated by glorified salespeople working on commission — pushing products that were not in his mother’s best interest.
Disappointed with the options, Kevin took matters into his own hands and launched a wealth management firm dedicated to retirement planning to allow more people to retire without worry.
Kevin is a Certified Financial Planner™ and one of the leading voices on retirement planning. He studied impact investing and financial planning at Santa Clara University and UCLA Extension. Go Bruins!
Kevin is also the host of Retirement Made Simple, a podcast and YouTube channel about retiring without worry.
Kevin and his family live in the Silverlake neighborhood of Los Angeles. In his free-time, Kevin enjoys exploring Los Angeles and discovering the best used bookstores and coffee shops. On weekends you can find Kevin serving as a barista at his churches coffee shop.
Question & Answer
What are your service offerings?
Tax Planning
Investment Planning
Comprehensive Financial Planni...
Business Succession Planning
Retirement Income Management
Socially Responsible Investing
Small Business Planning
Do you have an area of expertise or specialization?
Comprehensive Financial Planni...
401(k)/403(b)/IRAs
Asset Allocation
Estate Planning
Investment Management
Real Estate
Insurance
Retirement
Startup
Succession Planning
Sudden Wealth
Personal Taxes
Are you a "fiduciary"?
Yes
Aliases
Kevin D Lum
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.
I now spend approximately 1 hour per week managing insurance sales. I do not spend anytime working on the other business during securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Duane Lum's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2021
Experience
Current
February 12, 2019 - Present
FOUNDRY FINANCIAL LLC
Office #1: 479 S Marengo Ave, Pasadena, CA 91101RIA
CRD#: 300122
PASADENA, 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".
FF
FOUNDRY FINANCIAL LLC
FOUNDRY FINANCIAL LLC | FOUNDRY FINANCIAL, LLC
CRD#: 300122 / SEC#: 801-133770
RIA
Registered Investment Advisory firm - (6/27/2025 Approved)California
Registered Investment Advisory firm - (8/21/2025 Terminated)District of Columbia
Registered Investment Advisory firm - (7/22/2025 Terminated)Florida
Registered Investment Advisory firm - (7/22/2025 Terminated)Louisiana
Registered Investment Advisory firm - (7/22/2025 Terminated)Texas
Registered Investment Advisory firm - (7/22/2025 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(6/18/2019)
IAR
Florida(10/8/2024)
IAR
Texas(5/10/2024)
Current Firm
FF
FOUNDRY FINANCIAL LLC
FOUNDRY FINANCIAL LLC | FOUNDRY FINANCIAL, LLC
CRD#: 300122 / SEC#: 801-133770
RIA
Registered Investment Advisory firm - (6/27/2025 Approved)California
Registered Investment Advisory firm - (8/21/2025 Terminated)District of Columbia
Registered Investment Advisory firm - (7/22/2025 Terminated)Florida
Registered Investment Advisory firm - (7/22/2025 Terminated)Louisiana
Registered Investment Advisory firm - (7/22/2025 Terminated)Texas
Registered Investment Advisory firm - (7/22/2025 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
479 S Marengo Ave, Pasadena, CA 91101
Mailing Address
Phone number
(213) 802-8662
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 443 |
| AUM (Assets Under Management) | $ 104,707,000 |
Red Flags
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Company Information
FOUNDRY FINANCIAL LLC
Founder & CEOCRD#: 300122Pasadena, CA 91101TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
