DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

KMS FINANCIAL SERVICES, INC

KMS FINANCIAL SERVICES, INC., CRD 3866

SEATTLE, WA

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Search this name across graphsid dfx:ria:f40efe46-54f6-a9fd-2fe4-422ceb2ba77d

Data as of Nov 9, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 510
Dated events: 33
On other graphs: 1
Observed: Mar 29, 2012 to Nov 9, 2020
70 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

KMS Financial Services, Inc

Investment consultant · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $8.2BItem 5.F on the latest filing (2020-11-09); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $6.7B
Private client RAUM: $7.7BderivedItem 5.D individuals plus high net worth individuals
Private client share: 94%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 429
Advisory employees: 390
Offices: 384Schedule D 1.F, beyond the principal office
Accounts: 33,857
Individual clients: 10,057
High net worth clients: 4,476
Custody, client assets: $282M
SEC number: 801-11375
CRD: 3866
Filings on the tape: 70
First filed: Mar 29, 2012
Latest filed: Nov 9, 2020
Organised: Corporation, Washington

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ADVISOR GROUP HOLDINGS, INC.	Shareholder	E	yes	05/2020	Mar 13, 2020	Nov 9, 2020
AG ARTEMIS HOLDINGS GP, LLC	GENERAL PARTNER	F	yes	05/2019	Mar 13, 2020	Nov 9, 2020
AG ARTEMIS HOLDINGS, L.P.	Shareholder	E	yes	08/2019	Mar 13, 2020	Nov 9, 2020
AG INTERMEDIATE CORP.	Shareholder	E	yes	08/2019	Mar 13, 2020	Nov 9, 2020
AG PARENT CORP.	Shareholder	E	yes	08/2019	Mar 13, 2020	Nov 9, 2020
BERLINSKI, MILTON RALPH	Member	C	yes	08/2014	Mar 13, 2020	Nov 9, 2020
BERLINSKI, MILTON RALPH	GENERAL PARTNER	F	yes	08/2014	Mar 13, 2020	Nov 9, 2020
BERLINSKI, MILTON RALPH	GENERAL PARTNER	F	yes	01/2018	Mar 13, 2020	Nov 9, 2020
BERLINSKI, MILTON RALPH	Trustee	F	yes	08/2014	Mar 13, 2020	Nov 9, 2020
BERLINSKI, MILTON RALPH	INVESTMENT MANAGER	F	yes	08/2014	Mar 13, 2020	Nov 9, 2020
BRETON, BERNARD ANDRE	CHIEF COMPLIANCE OFFICER	Na	yes	03/2020	Mar 30, 2020	Nov 9, 2020
FORD, ERINN JUNE	PRESIDENT & CEO	Na	yes	04/2019	Apr 2, 2018	Nov 9, 2020
HARRINGTON, LINDA LEE	VICE PRESIDENT OF ADVISORY COMPLIANCE	Na	yes	08/2017	Sep 21, 2017	Nov 9, 2020
LADENBURG THALMANN FINANCIAL SERVICES, INC.	Shareholder	E	yes	05/2020	Mar 13, 2020	Nov 9, 2020
MRB ICBC LLC	Member	C	yes	08/2014	Mar 13, 2020	Nov 9, 2020
RCP ARTEMIS CO-INVEST GP LLC	GENERAL PARTNER	F	yes	05/2019	Mar 13, 2020	Nov 9, 2020
RCP ARTEMIS CO-INVEST, L.P.	LIMITED PARTNER	D	yes	08/2019	Mar 13, 2020	Nov 9, 2020
RCP GENPAR HOLDCO LLC	LIMITED PARTNER	E	yes	08/2014	Mar 13, 2020	Nov 9, 2020
RCP GENPAR LP	LIMITED PARTNER	E	yes	01/2018	Mar 13, 2020	Nov 9, 2020
RCP OPP FUND II GP, LP	Member	E	yes	05/2019	Mar 13, 2020	Nov 9, 2020
RCP OPP FUND II GP, LP	Member	E	yes	05/2019	Mar 13, 2020	Nov 9, 2020
SIMS, JEFFREY SCOTT	CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER	Na	yes	03/2015	Mar 28, 2014	Nov 9, 2020
THE BERLINSKI FAMILY 2006 TRUST	Member	E	yes	08/2014	Mar 13, 2020	Nov 9, 2020
ZELLERHOFF, MARK CHRISTOPHER	SENIOR VICE PRESIDENT OF OPERATIONS	Na	yes	02/2020	Mar 29, 2012	Nov 9, 2020

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
ROYAL ALLIANCE ASSOCIATES, INC.	n/a	Bd affiliated wealth	$235B	N	yes	n/a
SECURITIES AMERICA ADVISORS, INC.	n/a	Former SEC adviser	$40B	N	yes	n/a
WOODBURY FINANCIAL SERVICES, INC.	n/a	Former SEC adviser	$19B	N	yes	n/a
SAGEPOINT FINANCIAL, INC.	n/a	Former SEC adviser	$16B	N	yes	n/a
TRIAD HYBRID SOLUTIONS, LLC	n/a	Bd affiliated wealth	$15B	N	yes	n/a
FSC SECURITIES CORPORATION	n/a	Former SEC adviser	$12B	N	yes	n/a
ARBOR POINT ADVISORS, LLC	n/a	Former SEC adviser	$6.9B	N	yes	n/a
LADENBURG THALMANN ASSET MANAGEMENT INC	n/a	Other adviser	$6.7B	N	yes	n/a
TRIAD ADVISORS, LLC	n/a	Former SEC adviser	$1.1B	N	yes	n/a
VISION2020 WEALTH MANAGEMENT CORP.	n/a	No RAUM reported	$0	N	yes	n/a
HIGHLAND CAPITAL BROKERAGE, INC.	n/a	n/a	n/a	N	yes	n/a
LADENBURG CAPITAL AGENCY, INC.	n/a	n/a	n/a	N	yes	n/a
LADENBURG THALMANN & CO. INC.	n/a	n/a	n/a	N	yes	n/a
PREMIER TRUST, INC.	n/a	n/a	n/a	N	yes	n/a
SECURITIES AMERICA, INC.	n/a	n/a	n/a	N	yes	n/a
VALOR INSURANCE AGENCY	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Vancouver	Wa	United States	8	yes
Bethlehem	Pa	United States	6	yes
Lewiston	Id	United States	5	yes
Pocatello	Id	United States	5	yes
Eugene	Or	United States	4	yes
Spokane	Wa	United States	4	yes
Vancouver	Wa	United States	4	yes
SAN JOSE	CA	United States	3	yes
SAN JOSE	CA	United States	3	yes
Boise	Id	United States	3	yes
Meridian	Id	United States	3	yes
Eugene	Or	United States	3	yes
Lagrande	Or	United States	3	yes
LAKE OSWEGO	Or	United States	3	yes
Salem	Or	United States	3	yes
SIOUX FALLS	Sd	United States	3	yes
Weatherford	TX	United States	3	yes
Bellevue	Wa	United States	3	yes
Kirkland	Wa	United States	3	yes
MERCER ISLAND	Wa	United States	3	yes
Vancouver	Wa	United States	3	yes
n/a	n/a	n/a	3	yes
Eugene	Or	United States	2	yes
Edmonds	Wa	United States	2	yes
Vancouver	Wa	United States	2	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Mar 30, 2020	$8.2B	$6.7B	429	390	384	n/a	n/a
2018	Mar 29, 2019	$6.4B	$5.1B	419	377	371	n/a	n/a
2017	Mar 30, 2018	$6.8B	$5.2B	368	332	371	n/a	n/a
2016	Mar 30, 2017	$5.9B	$4.4B	401	369	n/a	n/a	n/a
2015	Mar 30, 2016	$5.2B	$3.9B	368	348	n/a	n/a	n/a
2014	Mar 31, 2015	$4.7B	$3.4B	365	338	n/a	n/a	n/a
2013	Mar 28, 2014	$4.5B	$3.0B	366	344	n/a	n/a	n/a
2012	Mar 21, 2013	$3.1B	$2.0B	388	349	n/a	n/a	n/a
2011	Mar 29, 2012	$2.4B	$1.3B	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$8.2B	$6.4B	28.0%	$5.9B	11.4%	429	419	384	371

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction; showing 20 of 23

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
ARBOR POINT ADVISORS	2	Nov 6, 2020	Nov 6, 2020	MOUNTAIN VIEW, CA	Channel change	Ibd to ibd	1.0%
ARBOR POINT ADVISORS	53	Nov 6, 2020	Nov 6, 2020	SEATTLE, WA	Channel change	Ibd to ibd	25.2%
JOHNSON BIXBY	5	Nov 5, 2020	Oct 16, 2020	VANCOUVER, WA	Team lift out	Ibd to new firm	2.3%
VANDERBILT ADVISORY SERVICES	2	Oct 30, 2020	Oct 30, 2020	VANCOUVER, WA	Team lift out	Ibd to ibd	0.8%
MOMENTOUS WEALTH MANAGEMENT, INC.	2	Oct 30, 2020	Jul 11, 2017	VANCOUVER, WA	Team lift out	Ibd to RIA	0.8%
SITTNER & NELSON, LLC	2	Oct 30, 2020	Sep 30, 2020	EUGENE, OR	Team lift out	Ibd to new firm	0.8%
CAPITAL FINANCIAL PLANNERS	3	Oct 30, 2020	Sep 11, 2023	SALEM, OR	Team lift out	Ibd to new firm	1.3%
CONSOLIDATED PORTFOLIO REVIEW CORP	4	Oct 28, 2020	Jan 8, 2026	WALNUT CREEK, CA	Team lift out	Ibd to RIA	1.7%
CONSOLIDATED PORTFOLIO REVIEW CORP	2	Oct 22, 2020	Oct 27, 2020	PORTLAND, OR	Team lift out	Ibd to RIA	0.8%
COMMONWEALTH FINANCIAL NETWORK	5	Oct 1, 2020	Oct 15, 2020	BELLEVUE, WA	Team lift out	Ibd to ibd	1.9%
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER	3	Sep 30, 2020	Sep 30, 2020	SEATTLE, WA	Team lift out	Ibd to RIA	1.1%
LPL FINANCIAL LLC	7	Sep 23, 2020	Oct 16, 2020	MERCER ISLAND, WA	Team lift out	Ibd to ibd	2.6%
LPL FINANCIAL LLC	2	Sep 21, 2020	Oct 29, 2024	TIGARD, OR	Team lift out	Ibd to ibd	0.7%
LPL FINANCIAL LLC	3	Sep 1, 2020	Sep 1, 2020	BELLEVUE, WA	Team lift out	Ibd to ibd	1.1%
LPL FINANCIAL LLC	2	Jul 27, 2020	Jul 31, 2020	BELLEVUE, WA	Team lift out	Ibd to ibd	0.7%
LPL FINANCIAL LLC	2	May 11, 2020	May 11, 2020	PORTLAND, OR	Team lift out	Ibd to ibd	0.7%
LPL FINANCIAL LLC	2	Mar 24, 2020	Mar 23, 2020	SEATTLE, WA	Team lift out	Ibd to ibd	0.7%
MARTEL WEALTH ADVISORS, LLC	5	Dec 31, 2018	Aug 2, 2018	VANCOUVER, WA	Team lift out	Ibd to RIA	2.0%
ALERA INVESTMENT ADVISORS, LLC	2	Nov 1, 2018	Nov 16, 2018	ANCHORAGE, AK	Team lift out	Ibd to RIA	0.8%
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER	2	Jul 20, 2018	Jul 20, 2018	BOTHELL, WA	Team lift out	Ibd to RIA	0.8%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
LPL FINANCIAL LLC	2	Jan 30, 2020	Jan 6, 2020	EUGENE, OR	Team lift out	Ibd to ibd	0.0%
CETERA ADVISORS LLC	2	Jul 11, 2019	Jul 25, 2019	WINDSOR, CT	Team lift out	Ibd to ibd	0.7%
CETERA ADVISORS LLC	2	May 31, 2019	Jun 4, 2019	POCATELLO, ID	Team lift out	Ibd to ibd	0.7%
MML INVESTORS SERVICES, LLC	2	Oct 17, 2018	Oct 12, 2018	SEATTLE, WA	Team lift out	Ibd to ibd	0.1%
CETERA ADVISORS LLC	2	Jul 26, 2018	Jul 20, 2018	SANTA CRUZ, CA	Team lift out	Ibd to ibd	0.6%
CETERA ADVISORS LLC	2	Feb 28, 2018	Mar 22, 2018	GREENWOOD VILLAGE, CO	Team lift out	Other	0.6%
Fsic	2	Jan 2, 2018	Jan 2, 2018	GIG HARBOR, WA	Team lift out	Other	22.2%
Fsic	2	Dec 5, 2017	Dec 5, 2017	KIRKLAND, WA	Team lift out	Other	16.7%
SII INVESTMENTS, INC.	3	Nov 10, 2017	Jan 8, 2019	SIOUX FALLS, SD	Team lift out	Other	0.9%
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	2	Oct 25, 2017	Oct 18, 2017	SAN JOSE, CA	Team lift out	Other	0.3%
WFG ADVISORS, LP	2	Nov 3, 2016	Nov 2, 2016	FORT WORTH, TX	Team lift out	Other	1.9%
SIGNATOR FINANCIAL SERVICES, INC.	2	Sep 1, 2015	Oct 1, 2015	SPRING HILL, FL	Team lift out	Other	5.9%

Relationships

showing 80 of 510

Affiliated with (13)

→ LADENBURG THALMANN ASSET MANAGEMENT INCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserother investment adviser, LP sponsor, common control
factForm ADV
→ SAGEPOINT FINANCIAL, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ VISION2020 WEALTH MANAGEMENT CORP.Registered adviserother investment adviser, common control
factForm ADV
→ ARBOR POINT ADVISORSRegistered adviserother investment adviser, common control
factForm ADV
→ OSAIC ADVISORY SERVICES, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ OSAIC WEALTH, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ TRIAD ADVISORS, LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ WOODBURY FINANCIAL SERVICES, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ FSC SECURITIES CORPORATIONRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← SSN ADVISORY, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
← INVESTACORP ADVISORY SERVICES INCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← LADENBURG THALMANN FUND MANAGEMENT LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV

Controls (19)

← BERLINSKI, MILTON RALPHOwnerMEMBER, ownership code C, individual
Mar 13, 2020 to presentfactForm ADV
← BRETON, BERNARD ANDREOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2020 to presentfactForm ADV
← FORD, ERINN JUNEOwnerPRESIDENT & CEO, ownership code NA, individual
Apr 2, 2018 to presentfactForm ADV
← ZELLERHOFF, MARK CHRISTOPHEROwnerSENIOR VICE PRESIDENT OF OPERATIONS, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← SIMS, JEFFREY SCOTTOwnerCFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, ownership code NA, individual
Mar 28, 2014 to presentfactForm ADV
← HARRINGTON, LINDA LEEOwnerVICE PRESIDENT OF ADVISORY COMPLIANCE, ownership code NA, individual
Sep 21, 2017 to presentfactForm ADV
← ADVISOR GROUP HOLDINGS, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 13, 2020 to presentfactForm ADV
← AG ARTEMIS HOLDINGS GP, LLCOwnerGENERAL PARTNER, ownership code F, domestic entity
Mar 13, 2020 to presentfactForm ADV
← AG ARTEMIS HOLDINGS, L.P.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 13, 2020 to presentfactForm ADV
← AG INTERMEDIATE CORP.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 13, 2020 to presentfactForm ADV
← AG PARENT CORP.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 13, 2020 to presentfactForm ADV
← LADENBURG THALMANN FINANCIAL SERVICES, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 13, 2020 to presentfactForm ADV
← MRB ICBC LLCOwnerMEMBER, ownership code C, domestic entity
Mar 13, 2020 to presentfactForm ADV
← RCP ARTEMIS CO-INVEST GP LLCOwnerGENERAL PARTNER, ownership code F, domestic entity
Mar 13, 2020 to presentfactForm ADV
← RCP ARTEMIS CO-INVEST, L.P.OwnerLIMITED PARTNER, ownership code D, foreign entity
Mar 13, 2020 to presentfactForm ADV
← RCP GENPAR HOLDCO LLCOwnerLIMITED PARTNER, ownership code E, domestic entity
Mar 13, 2020 to presentfactForm ADV
← RCP GENPAR LPOwnerLIMITED PARTNER, ownership code E, domestic entity
Mar 13, 2020 to presentfactForm ADV
← RCP OPP FUND II GP, LPOwnerMEMBER, ownership code E, domestic entity
Mar 13, 2020 to presentfactForm ADV
← THE BERLINSKI FAMILY 2006 TRUSTOwnerMEMBER, ownership code E, domestic entity
Mar 13, 2020 to presentfactForm ADV

Moved with (4)

→ CONSOLIDATED PORTFOLIO REVIEW CORPRegistered adviser4 advisors, team lift out
Oct 28, 2020 to Jan 8, 2026factForm ADV
→ LPL FINANCIAL LLCRegistered adviser2 advisors, team lift out, same day
Sep 21, 2020 to Oct 29, 2024factForm ADV
→ CAPITAL FINANCIAL PLANNERSRegistered adviser3 advisors, team lift out, same day
Oct 30, 2020 to Sep 11, 2023factForm ADV
→ ARBOR POINT ADVISORSRegistered adviser2 advisors, team lift out, same day
Nov 6, 2020 to Nov 6, 2020factForm ADV

Registered with (38)

← ERINN JUNE FORDAdvisorregistration: previous registration
Mar 16, 2018 to Nov 18, 2020factForm ADV
← MARK CHRISTOPHER ZELLERHOFFAdvisorregistration: previous registration
May 26, 2016 to Nov 18, 2020factForm ADV
← MELISSA ANN LAMARCHEAdvisorregistration: previous registration
Mar 27, 2012 to Nov 7, 2020factForm ADV
← DOUGLASS COLLEY MCCRAEAdvisorregistration: previous registration
Dec 3, 2013 to Nov 7, 2020factForm ADV
← Amanda PetersonAdvisorregistration: previous registration
Jun 18, 2020 to Nov 7, 2020factForm ADV
← DANIEL LEE GILBERTAdvisorregistration: previous registration
Feb 4, 2016 to Nov 6, 2020factForm ADV
← LARRY THOMAS CHRISTIANSENAdvisorregistration: previous registration
Feb 12, 2010 to Nov 6, 2020factForm ADV
← BLAIR DOUGLAS HANSENAdvisorregistration: previous registration
Oct 18, 2017 to Nov 6, 2020factForm ADV
← LEWIS CRAIG GREENAdvisorregistration: previous registration
Mar 28, 2017 to Nov 6, 2020factForm ADV
← PHILIP ROBERT HEDRICKAdvisorregistration: previous registration
Jul 27, 2011 to Nov 6, 2020factForm ADV
← GREGORY GORDON RIGGSAdvisorregistration: previous registration
Oct 11, 2001 to Nov 6, 2020factForm ADV
← JOSEPH SANTO MARINOAdvisorregistration: previous registration
Nov 29, 2016 to Nov 6, 2020factForm ADV
← DAMON SCOTT WINTERAdvisorregistration: previous registration
Nov 3, 2011 to Nov 6, 2020factForm ADV
← MARK CHARLES NIEMIAdvisorregistration: previous registration
May 30, 1990 to Nov 6, 2020factForm ADV
← GERALD DANIEL KROEGERAdvisorregistration: previous registration
Jul 30, 2007 to Nov 6, 2020factForm ADV
← DAVID S. ESKENAZIAdvisorregistration: previous registration
Feb 7, 2017 to Nov 6, 2020factForm ADV
← LEE ALLEN SCHARENBERGAdvisorregistration: previous registration
Dec 11, 2003 to Nov 6, 2020factForm ADV
← JAMES ROBERT HARVEYAdvisorregistration: previous registration
Jul 13, 1999 to Nov 6, 2020factForm ADV
← DANIEL CHRISTIAN GIDDENSAdvisorregistration: previous registration
Apr 1, 2014 to Nov 6, 2020factForm ADV
← SABINE BIRLENBACHAdvisorregistration: previous registration
Jan 31, 2017 to Nov 6, 2020factForm ADV
← WILLIAM EDWARDS CLIVEAdvisorregistration: previous registration
Jun 20, 2008 to Nov 6, 2020factForm ADV
← BRUCE WAYNE SWAYZEAdvisorregistration: previous registration
Jun 6, 2006 to Nov 6, 2020factForm ADV
← GLEN ALAN THIESSENAdvisorregistration: previous registration
Feb 26, 2002 to Nov 6, 2020factForm ADV
← LISA HAGGAI PIERSONAdvisorregistration: previous registration
Mar 6, 2015 to Nov 6, 2020factForm ADV
← DONALD LEE REIMANAdvisorregistration: previous registration
Feb 15, 2011 to Nov 6, 2020factForm ADV
← ERIC SAMUEL BALLAdvisorregistration: previous registration
Jan 30, 2014 to Nov 6, 2020factForm ADV
← NICHOLAS RUSSELL GREENAdvisorregistration: previous registration
Oct 26, 2011 to Nov 6, 2020factForm ADV
← RAYMOND EUGENE GREGOIREAdvisorregistration: previous registration
Jul 31, 2009 to Nov 6, 2020factForm ADV
← BRENT BERNARD GOTTIERAdvisorregistration: previous registration
Jul 10, 2019 to Nov 6, 2020factForm ADV
← JAMES GILBERT HANSENAdvisorregistration: previous registration
Mar 27, 1990 to Nov 6, 2020factForm ADV
and 8 more

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Nov 9, 2020
Control person left
Eric Stanley Westberg (Chairman Emeritus) no longer on Schedule A of Kms Financial Services, Inc (listed 2020-10-16, absent 2020-11-09)
Form ADVobserved 4 days ago
Occurred
Nov 9, 2020
Control person left
Joseph N/A Giovanniello (Director) no longer on Schedule A of Kms Financial Services, Inc (listed 2020-10-16, absent 2020-11-09)
Form ADVobserved 4 days ago
Occurred
Nov 9, 2020
Control person left
Philip Salvatore Blancato (Director) no longer on Schedule A of Kms Financial Services, Inc (listed 2020-10-16, absent 2020-11-09)
Form ADVobserved 4 days ago
Occurred
Nov 9, 2020
Control person left
Melissa Ann Lamarche (Vice President Of Advisor Experience) no longer on Schedule A of Kms Financial Services, Inc (listed 2020-10-16, absent 2020-11-09)
Form ADVobserved 4 days ago
Occurred
Nov 9, 2020
Control person left
Douglass Colley Mccrae (Vice President Of Surveillance) no longer on Schedule A of Kms Financial Services, Inc (listed 2020-10-16, absent 2020-11-09)
Form ADVobserved 4 days ago
Occurred
Nov 9, 2020
Control person left
Luca Omar Procel (Vice President Of Supervision) no longer on Schedule A of Kms Financial Services, Inc (listed 2020-10-16, absent 2020-11-09)
Form ADVobserved 4 days ago
Occurred
Nov 9, 2020
Control person left
Howard Joseph Englehart (Vice President Of Business Development & Relationship Management) no longer on Schedule A of Kms Financial Services, Inc (listed 2020-10-16, absent 2020-11-09)
Form ADVobserved 4 days ago
Occurred
Nov 9, 2020
Control person left
Doreen Louise Griffith (Chief Technology Officer) no longer on Schedule A of Kms Financial Services, Inc (listed 2020-10-16, absent 2020-11-09)
Form ADVobserved 4 days ago
Occurred
Nov 9, 2020
Control person left
Sabine Birlenbach (Vice President Of Brokerage Operations) no longer on Schedule A of Kms Financial Services, Inc (listed 2020-10-16, absent 2020-11-09)
Form ADVobserved 4 days ago
Occurred
Nov 9, 2020
Control person left
James Dale Price (Chairman) no longer on Schedule A of Kms Financial Services, Inc (listed 2020-10-16, absent 2020-11-09)
Form ADVobserved 4 days ago
Occurred
Nov 9, 2020
Control person left
Matthew Adam Schlueter (Executive Vice President, Director) no longer on Schedule A of Kms Financial Services, Inc (listed 2020-10-16, absent 2020-11-09)
Form ADVobserved 4 days ago
Occurred
Nov 9, 2020
Control person left
Nina Mckenna (Secretary) no longer on Schedule A of Kms Financial Services, Inc (listed 2020-10-16, absent 2020-11-09)
Form ADVobserved 4 days ago
Occurred
Jun 26, 2020
Control person left
Brett Heath Kaufman (Director) no longer on Schedule A of Kms Financial Services, Inc (listed 2020-06-15, absent 2020-06-26)
Form ADVobserved 4 days ago
Occurred
Jun 26, 2020
Control person joined
James Dale Price (Chairman) appeared on Schedule A of Kms Financial Services, Inc
Form ADVobserved 4 days ago
Occurred
Jun 26, 2020
Control person joined
Matthew Adam Schlueter (Executive Vice President, Director) appeared on Schedule A of Kms Financial Services, Inc
Form ADVobserved 4 days ago
Occurred
Jun 26, 2020
Control person joined
Nina Mckenna (Secretary) appeared on Schedule A of Kms Financial Services, Inc
Form ADVobserved 4 days ago
Occurred
May 28, 2020
Control person left
Mark Thomas Mccloskey (Senior Vice President Of Compliance) no longer on Schedule A of Kms Financial Services, Inc (listed 2020-05-01, absent 2020-05-28)
Form ADVobserved 4 days ago
Occurred
May 1, 2020
Control person left
Deanna Lynn Arnold-Frady (Vice President/Strategic Growth) no longer on Schedule A of Kms Financial Services, Inc (listed 2020-04-27, absent 2020-05-01)
Form ADVobserved 4 days ago
Occurred
May 1, 2020
Control person left
Sonja Marie Yates Seymour (Vice President / Information Systems) no longer on Schedule A of Kms Financial Services, Inc (listed 2020-04-27, absent 2020-05-01)
Form ADVobserved 4 days ago
Occurred
Apr 27, 2020
Control person joined
Mark Thomas Mccloskey (Senior Vice President Of Compliance) appeared on Schedule A of Kms Financial Services, Inc
Form ADVobserved 4 days ago
Occurred
Apr 27, 2020
Control person left
Casey William Dougherty (Chief Compliance Officer, Chief Legal Officer) no longer on Schedule A of Kms Financial Services, Inc (listed 2020-04-14, absent 2020-04-27)
Form ADVobserved 4 days ago
Occurred
Apr 27, 2020
Control person left
Anthony Glen Curran (Vice President/Advisory Operations) no longer on Schedule A of Kms Financial Services, Inc (listed 2020-04-14, absent 2020-04-27)
Form ADVobserved 4 days ago
Occurred
Mar 30, 2020
Regulatory AUM changed
Kms Financial Services, Inc reported RAUM $8.2B, up 28% from $6.4B (2020-03-13 to 2020-03-30)
Form ADVobserved 4 days ago
$1.8B
Occurred
Mar 30, 2020
Control person joined
Bernard Andre Breton (Chief Compliance Officer) appeared on Schedule A of Kms Financial Services, Inc
Form ADVobserved 4 days ago
Occurred
Mar 13, 2020
Control person joined
Milton Ralph Berlinski (General Partner) appeared on Schedule A of Kms Financial Services, Inc
Form ADVobserved 4 days ago
Occurred
Mar 13, 2020
Control person left
Aileen Gail Krohn (Executive Vice President Of Corporate & Special Projects) no longer on Schedule A of Kms Financial Services, Inc (listed 2020-02-19, absent 2020-03-13)
Form ADVobserved 4 days ago
Occurred
Mar 13, 2020
Control person left
Adam Scott Malamed (Director) no longer on Schedule A of Kms Financial Services, Inc (listed 2020-02-19, absent 2020-03-13)
Form ADVobserved 4 days ago
Occurred
Feb 19, 2020
Control person joined
Sabine Birlenbach (Vice President Of Brokerage Operations) appeared on Schedule A of Kms Financial Services, Inc
Form ADVobserved 4 days ago
Occurred
Aug 30, 2019
Control person left
Bruce J King (Chief Technology Officer) no longer on Schedule A of Kms Financial Services, Inc (listed 2019-08-01, absent 2019-08-30)
Form ADVobserved 4 days ago
Occurred
Aug 30, 2019
Control person joined
Doreen Louise Griffith (Chief Technology Officer) appeared on Schedule A of Kms Financial Services, Inc
Form ADVobserved 4 days ago
Occurred
Jul 1, 2019
Control person left
Catherine Brenda Lau-Bingham (Vice President Of Project Management Office) no longer on Schedule A of Kms Financial Services, Inc (listed 2019-04-17, absent 2019-07-01)
Form ADVobserved 4 days ago
Occurred
Jan 2, 2019
Control person joined
Howard Joseph Englehart (Vice President Of Business Development) appeared on Schedule A of Kms Financial Services, Inc
Form ADVobserved 4 days ago

Show 1 bookkeeping events

Occurred
Mar 30, 2020
Kms Financial Services, Inc reported 384 offices beyond its principal office, up from 371 (2020-03-13 to 2020-03-30)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f40efe46-54f6-a9fd-2fe4-422ceb2ba77d
First observed: Mar 29, 2012
Last observed: Nov 9, 2020 71 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

KMS FINANCIAL SERVICES, INC

KMS FINANCIAL SERVICES, INC., CRD 3866

SEATTLE, WA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:f40efe46-54f6-a9fd-2fe4-422ceb2ba77d

Data as of Nov 9, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:40 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ADVISOR GROUP HOLDINGS, INC.

Shareholder

yes

05/2020

Mar 13, 2020

Nov 9, 2020

AG ARTEMIS HOLDINGS GP, LLC

GENERAL PARTNER

yes

05/2019

Mar 13, 2020

Nov 9, 2020

AG ARTEMIS HOLDINGS, L.P.

Shareholder

yes

08/2019

Mar 13, 2020

Nov 9, 2020

AG INTERMEDIATE CORP.

Shareholder

yes

08/2019

Mar 13, 2020

Nov 9, 2020

AG PARENT CORP.

Shareholder

yes

08/2019

Mar 13, 2020

Nov 9, 2020

BERLINSKI, MILTON RALPH

Member

yes

08/2014

Mar 13, 2020

Nov 9, 2020

BERLINSKI, MILTON RALPH

GENERAL PARTNER

yes

08/2014

Mar 13, 2020

Nov 9, 2020

BERLINSKI, MILTON RALPH

GENERAL PARTNER

yes

01/2018

Mar 13, 2020

Nov 9, 2020

BERLINSKI, MILTON RALPH

Trustee

yes

08/2014

Mar 13, 2020

Nov 9, 2020

BERLINSKI, MILTON RALPH

INVESTMENT MANAGER

yes

08/2014

Mar 13, 2020

Nov 9, 2020

BRETON, BERNARD ANDRE

CHIEF COMPLIANCE OFFICER

yes

03/2020

Mar 30, 2020

Nov 9, 2020

FORD, ERINN JUNE

PRESIDENT & CEO

yes

04/2019

Apr 2, 2018

Nov 9, 2020

HARRINGTON, LINDA LEE

VICE PRESIDENT OF ADVISORY COMPLIANCE

yes

08/2017

Sep 21, 2017

Nov 9, 2020

LADENBURG THALMANN FINANCIAL SERVICES, INC.

Shareholder

yes

05/2020

Mar 13, 2020

Nov 9, 2020

MRB ICBC LLC

Member

yes

08/2014

Mar 13, 2020

Nov 9, 2020

RCP ARTEMIS CO-INVEST GP LLC

GENERAL PARTNER

yes

05/2019

Mar 13, 2020

Nov 9, 2020

RCP ARTEMIS CO-INVEST, L.P.

LIMITED PARTNER

yes

08/2019

Mar 13, 2020

Nov 9, 2020

RCP GENPAR HOLDCO LLC

LIMITED PARTNER

yes

08/2014

Mar 13, 2020

Nov 9, 2020

RCP GENPAR LP

LIMITED PARTNER

yes

01/2018

Mar 13, 2020

Nov 9, 2020

RCP OPP FUND II GP, LP

Member

yes

05/2019

Mar 13, 2020

Nov 9, 2020

RCP OPP FUND II GP, LP

Member

yes

05/2019

Mar 13, 2020

Nov 9, 2020

SIMS, JEFFREY SCOTT

CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER

yes

03/2015

Mar 28, 2014

Nov 9, 2020

THE BERLINSKI FAMILY 2006 TRUST

Member

yes

08/2014

Mar 13, 2020

Nov 9, 2020

ZELLERHOFF, MARK CHRISTOPHER

SENIOR VICE PRESIDENT OF OPERATIONS

yes

02/2020

Mar 29, 2012

Nov 9, 2020

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ROYAL ALLIANCE ASSOCIATES, INC.

n/a

Bd affiliated wealth

$235B

yes

n/a

SECURITIES AMERICA ADVISORS, INC.

n/a

Former SEC adviser

$40B

yes

n/a

WOODBURY FINANCIAL SERVICES, INC.

n/a

Former SEC adviser

$19B

yes

n/a

SAGEPOINT FINANCIAL, INC.

n/a

Former SEC adviser

$16B

yes

n/a

TRIAD HYBRID SOLUTIONS, LLC

n/a

Bd affiliated wealth

$15B

yes

n/a

FSC SECURITIES CORPORATION

n/a

Former SEC adviser

$12B

yes

n/a

ARBOR POINT ADVISORS, LLC

n/a

Former SEC adviser

$6.9B

yes

n/a

LADENBURG THALMANN ASSET MANAGEMENT INC

n/a

Other adviser

$6.7B

yes

n/a

TRIAD ADVISORS, LLC

n/a

Former SEC adviser

$1.1B

yes

n/a

VISION2020 WEALTH MANAGEMENT CORP.

n/a

No RAUM reported

yes

n/a

HIGHLAND CAPITAL BROKERAGE, INC.

n/a

yes

n/a

LADENBURG CAPITAL AGENCY, INC.

n/a

yes

n/a

LADENBURG THALMANN & CO. INC.

n/a

yes

n/a

PREMIER TRUST, INC.

n/a

yes

n/a

SECURITIES AMERICA, INC.

n/a

yes

n/a

VALOR INSURANCE AGENCY

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Vancouver

United States

yes

Bethlehem

United States

yes

Lewiston

United States

yes

Pocatello

United States

yes

Eugene

United States

yes

Spokane

United States

yes

Vancouver

United States

yes

SAN JOSE

United States

yes

SAN JOSE

United States

yes

Boise

United States

yes

Meridian

United States

yes

Eugene

United States

yes

Lagrande

United States

yes

LAKE OSWEGO

United States

yes

Salem

United States

yes

SIOUX FALLS

United States

yes

Weatherford

United States

yes

Bellevue

United States

yes

Kirkland

United States

yes

MERCER ISLAND

United States

yes

Vancouver

United States

yes

n/a

yes

Eugene

United States

yes

Edmonds

United States

yes

Vancouver

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 30, 2020

$8.2B

$6.7B

429

390

384

n/a

2018

Mar 29, 2019

$6.4B

$5.1B

419

377

371

n/a

2017

Mar 30, 2018

$6.8B

$5.2B

368

332

371

n/a

2016

Mar 30, 2017

$5.9B

$4.4B

401

369

n/a

2015

Mar 30, 2016

$5.2B

$3.9B

368

348

n/a

2014

Mar 31, 2015

$4.7B

$3.4B

365

338

n/a

2013

Mar 28, 2014

$4.5B

$3.0B

366

344

n/a

2012

Mar 21, 2013

$3.1B

$2.0B

388

349

n/a

2011

Mar 29, 2012

$2.4B

$1.3B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$8.2B

$6.4B

28.0%

$5.9B

11.4%

429

419

384

371

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

ARBOR POINT ADVISORS

Nov 6, 2020

MOUNTAIN VIEW, CA

Channel change

Ibd to ibd

1.0%

ARBOR POINT ADVISORS

Nov 6, 2020

SEATTLE, WA

Channel change

Ibd to ibd

25.2%

JOHNSON BIXBY

Nov 5, 2020

Oct 16, 2020

VANCOUVER, WA

Team lift out

Ibd to new firm

2.3%

VANDERBILT ADVISORY SERVICES

Oct 30, 2020

VANCOUVER, WA

Team lift out

Ibd to ibd

0.8%

MOMENTOUS WEALTH MANAGEMENT, INC.

Oct 30, 2020

Jul 11, 2017

VANCOUVER, WA

Team lift out

Ibd to RIA

0.8%

SITTNER & NELSON, LLC

Oct 30, 2020

Sep 30, 2020

EUGENE, OR

Team lift out

Ibd to new firm

0.8%

CAPITAL FINANCIAL PLANNERS

Oct 30, 2020

Sep 11, 2023

SALEM, OR

Team lift out

Ibd to new firm

1.3%

CONSOLIDATED PORTFOLIO REVIEW CORP

Oct 28, 2020

Jan 8, 2026

WALNUT CREEK, CA

Team lift out

Ibd to RIA

1.7%

CONSOLIDATED PORTFOLIO REVIEW CORP

Oct 22, 2020

Oct 27, 2020

PORTLAND, OR

Team lift out

Ibd to RIA

0.8%

COMMONWEALTH FINANCIAL NETWORK

Oct 1, 2020

Oct 15, 2020

BELLEVUE, WA

Team lift out

Ibd to ibd

1.9%

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Sep 30, 2020

SEATTLE, WA

Team lift out

Ibd to RIA

1.1%

LPL FINANCIAL LLC

Sep 23, 2020

Oct 16, 2020

MERCER ISLAND, WA

Team lift out

Ibd to ibd

2.6%

LPL FINANCIAL LLC

Sep 21, 2020

Oct 29, 2024

TIGARD, OR

Team lift out

Ibd to ibd

0.7%

LPL FINANCIAL LLC

Sep 1, 2020

BELLEVUE, WA

Team lift out

Ibd to ibd

1.1%

LPL FINANCIAL LLC

Jul 27, 2020

Jul 31, 2020

BELLEVUE, WA

Team lift out

Ibd to ibd

0.7%

LPL FINANCIAL LLC

May 11, 2020

PORTLAND, OR

Team lift out

Ibd to ibd

0.7%

LPL FINANCIAL LLC

Mar 24, 2020

Mar 23, 2020

SEATTLE, WA

Team lift out

Ibd to ibd

0.7%

MARTEL WEALTH ADVISORS, LLC

Dec 31, 2018

Aug 2, 2018

VANCOUVER, WA

Team lift out

Ibd to RIA

2.0%

ALERA INVESTMENT ADVISORS, LLC

Nov 1, 2018

Nov 16, 2018

ANCHORAGE, AK

Team lift out

Ibd to RIA

0.8%

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Jul 20, 2018

BOTHELL, WA

Team lift out

Ibd to RIA

0.8%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

LPL FINANCIAL LLC

Jan 30, 2020

Jan 6, 2020

EUGENE, OR

Team lift out

Ibd to ibd

0.0%

CETERA ADVISORS LLC

Jul 11, 2019

Jul 25, 2019

WINDSOR, CT

Team lift out

Ibd to ibd

0.7%

CETERA ADVISORS LLC

May 31, 2019

Jun 4, 2019

POCATELLO, ID

Team lift out

Ibd to ibd

0.7%

MML INVESTORS SERVICES, LLC

Oct 17, 2018

Oct 12, 2018

SEATTLE, WA

Team lift out

Ibd to ibd

0.1%

CETERA ADVISORS LLC

Jul 26, 2018

Jul 20, 2018

SANTA CRUZ, CA

Team lift out

Ibd to ibd

0.6%

CETERA ADVISORS LLC

Feb 28, 2018

Mar 22, 2018

GREENWOOD VILLAGE, CO

Team lift out

Other

0.6%

Fsic

Jan 2, 2018

GIG HARBOR, WA

Team lift out

Other

22.2%

Fsic

Dec 5, 2017

KIRKLAND, WA

Team lift out

Other

16.7%

SII INVESTMENTS, INC.

Nov 10, 2017

Jan 8, 2019

SIOUX FALLS, SD

Team lift out

Other

0.9%

NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)

Oct 25, 2017

Oct 18, 2017

SAN JOSE, CA

Team lift out

Other

0.3%

WFG ADVISORS, LP

Nov 3, 2016

Nov 2, 2016

FORT WORTH, TX

Team lift out

Other

1.9%

SIGNATOR FINANCIAL SERVICES, INC.

Sep 1, 2015

Oct 1, 2015

SPRING HILL, FL

Team lift out

Other

5.9%