DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

SEC-registered adviser

Kestra Institutional Services, LLC

No RAUM reportedAustin, TexasCRD 151790SEC 801-70743IAPD
Latest filing Jun 30, 2026
First filing on the tape Mar 30, 2012 · 58 filings
SEC status approved since Oct 23, 2009
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
58 filings and snapshots on the tape
RAUM$0 as of Jun 30, 2026
Mar 30, 2012$0 then
HNW client RAUM$0 as of Jun 30, 2026
Mar 29, 2019$0 then
State-registered IARs (5.B.3)10 as of Jun 30, 2026
Mar 30, 20120 then
Employees (5.A)10 as of Jun 30, 2026
Apr 1, 201310 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 10 to 10
Practice profile
derived from the filing of Jun 30, 2026; every figure names its basis
Archetypes, each a printed rule
  • PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
RAUM per advisor
$0derivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
10.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Ownership
a PE fund or sponsor is a 25 percent or greater owner on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=10.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Vincent John Amore · Evp, Wealth Managementcontrol
    since 10/2019 · owns less than 5%
  • Van Joel Bennett · Svp, Chief Financial Officercontrol
    since 10/2016 · owns less than 5%
  • Lawless Kristen Chester · Chief Operating Officer, Executive Vice Presidentcontrol
    since 02/2019 · owns less than 5%
  • Russell Stephen Langlois · Presidentcontrol
    since 03/2021 · owns less than 5%
  • Bredt Robert Norwood · Evp, General Counselcontrol
    since 04/2016 · owns less than 5%
  • Jean-Luc Dupont · Vp, Chief Information Security Office
    since 07/2023 · owns less than 5%
  • Ross Michael Pedlow · Chief Compliance Officer, Evp
    since 06/2015 · owns less than 5%
  • Yin Yin · Vice President, Controller
    since 06/2009 · owns less than 5%
Entity owners
  • Kestra Financial, Inc. · Managing Member
    direct · owns 75% or more
  • Kestra Advisor Services Holdings A, Inc. · Owner
    indirect · owns 75% or more of Kestra Advisor Services Holdings B, Inc.
  • Kestra Advisor Services Holdings B, Inc. · Owner
    indirect · owns 75% or more of Kestra Advisor Services Holdings C, Inc.
  • Kestra Advisor Services Holdings C, Inc. · Owner
    indirect · owns 75% or more of Kestra Financial, Inc.
  • Kingfisher Holding A, Inc. · Owner
    indirect · owns 75% or more of Kingfisher Holding B, Inc.
  • Kingfisher Holding B, Inc. · Owner
    indirect · owns 75% or more of Kestra Advisor Services Holdings A, Inc.
  • Kingfisher Holding Gp, LLC · General Partner
    indirect · owns F of Kingfisher Holding, L.P.
  • Kingfisher Holding, L.P. · Owner
    indirect · owns 75% or more of Kingfisher Holding A, Inc.
  • Oak Hill Capital Partners Vi (Onshore), L.P. · Owner
    indirect · owns 25% to 50% of Ohcp Vi Enzo Aggregator, L.P.
  • Oak Hill Capital Partners Vi (Te 892), L.P. · Owner
    indirect · owns 25% to 50% of Ohcp Vi Enzo Aggregator, L.P.
  • Ohcp Vi Enzo Aggregator, L.P. · Owner
    indirect · owns 25% to 50% of Kingfisher Holding, L.P.
  • Warburg Pincus Financial Sector, L.P. · Limited Partner
    indirect · owns 25% to 50% of Kingfisher Holding, L.P.
Related persons
Schedule D 7.A
Advisers that list Kestra Institutional Services, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Financial planning clients · 0 to 0
    Feb 24, 2025 to Apr 14, 2025
  • Accounts · unset to 0.0
    Nov 8, 2024 to Feb 24, 2025
  • Discretionary RAUM · unset to 0.0
    Nov 8, 2024 to Feb 24, 2025
  • Non-discretionary RAUM · unset to 0.0
    Nov 8, 2024 to Feb 24, 2025
  • RAUM · unset to 0.0
    Nov 8, 2024 to Feb 24, 2025
  • Succession · false to true
    Mar 29, 2019 to Jun 26, 2019
  • Succession · true to false
    Jun 26, 2019 to Jun 26, 2019
  • HNW RAUM · unset to 0.0
    Mar 29, 2018 to Mar 29, 2019
  • Individual RAUM · unset to 0.0
    Mar 29, 2018 to Mar 29, 2019
  • Pension RAUM · unset to 0.0
    Mar 29, 2018 to Mar 29, 2019
  • Pooled vehicle RAUM · unset to 0.0
    Mar 29, 2018 to Mar 29, 2019
  • Wrap assets (sponsor) · $115M to $0
    Mar 29, 2018 to Mar 29, 2019
  • Other offices · unset to 0.0
    Sep 26, 2017 to Mar 29, 2018
  • Wrap assets (manager) · unset to 0.0
    Sep 26, 2017 to Mar 29, 2018
  • Wrap assets (sponsor) · unset to 114804032.0
    Sep 26, 2017 to Mar 29, 2018
  • Related bank · true to false
    Jul 21, 2016 to Mar 31, 2017
  • Business name · NFP RIA SERVICES, LLC to KESTRA INSTITUTIONAL SERVICES, LLC
    Apr 4, 2016 to Jul 21, 2016
  • Legal name · NFP RIA SERVICES, LLC to KESTRA INSTITUTIONAL SERVICES, LLC
    Apr 4, 2016 to Jul 21, 2016
  • Business name · NFP RIA SERVICES to NFP RIA SERVICES, LLC
    Nov 21, 2014 to Feb 17, 2015
  • Legal name · NFP RIA SERVICES to NFP RIA SERVICES, LLC
    Nov 21, 2014 to Feb 17, 2015
  • Legal name · NFP INDESUITE, INC. to NFP RIA SERVICES
    Nov 10, 2014 to Nov 21, 2014
  • Succession · true to false
    Nov 10, 2014 to Nov 21, 2014
  • Business name · NFP INDESUITE to NFP RIA SERVICES
    Sep 2, 2014 to Nov 10, 2014
  • Organization form · Corporation to Limited Liability Company
    Sep 2, 2014 to Nov 10, 2014
  • Succession · false to true
    Sep 2, 2014 to Nov 10, 2014
  • Accounts · 0.0 to unset
    Apr 30, 2012 to Apr 1, 2013
  • Advisory employees · unset to 10.0
    Apr 30, 2012 to Apr 1, 2013
  • BD registered reps · unset to 10.0
    Apr 30, 2012 to Apr 1, 2013
  • Employees · unset to 10.0
    Apr 30, 2012 to Apr 1, 2013
  • State-registered IARs · 0 to 10
    Apr 30, 2012 to Apr 1, 2013
  • Discretionary RAUM · 0.0 to unset
    Apr 30, 2012 to Apr 1, 2013
  • Non-discretionary RAUM · 0.0 to unset
    Apr 30, 2012 to Apr 1, 2013
  • RAUM · 0.0 to unset
    Apr 30, 2012 to Apr 1, 2013
Signals
14 dated events
  • Vincent John Amore (Evp, Wealth Management) appeared on Schedule A of Kestra Institutional Services, Llc
    Mar 31, 2022 · Control person joined · fact
  • Patrick John Vanderheyden (Evp, Strategic Initiatives) no longer on Schedule A of Kestra Institutional Services, Llc (listed 2021-04-29, absent 2021-10-11)
    Oct 11, 2021 · Control person left · inference
  • Lynn James Poer (Chief Executive Officer, President) no longer on Schedule A of Kestra Institutional Services, Llc (listed 2021-04-29, absent 2021-10-11)
    Oct 11, 2021 · Control person left · inference
  • Russell Stephen Langlois (President) appeared on Schedule A of Kestra Institutional Services, Llc
    Mar 31, 2021 · Control person joined · fact
  • Jeff Bouthillier (Vp, Chief Technology Officer) no longer on Schedule A of Kestra Institutional Services, Llc (listed 2020-09-18, absent 2021-03-31)
    Mar 31, 2021 · Control person left · inference
  • Jeff Bouthillier (Vp, Chief Technology Officer) appeared on Schedule A of Kestra Institutional Services, Llc
    Jan 29, 2020 · Control person joined · fact
  • Lee Kevin Witt (Svp, Chief Technology Officer/Chief Information Security Officer) no longer on Schedule A of Kestra Institutional Services, Llc (listed 2019-07-19, absent 2020-01-29)
    Jan 29, 2020 · Control person left · inference
  • Michael Jacob Beach (Vp, Chief Information Security Officer) appeared on Schedule A of Kestra Institutional Services, Llc
    Jan 29, 2020 · Control person joined · fact
  • Lee Kevin Witt (Svp, Chief Technology Officer/Chief Information Security Officer) appeared on Schedule A of Kestra Institutional Services, Llc
    Jul 19, 2019 · Control person joined · fact
  • Patrick John Vanderheyden (Evp, Strategic Initiatives) appeared on Schedule A of Kestra Institutional Services, Llc
    Jun 26, 2019 · Control person joined · fact
  • Lee Kevin Witt (Svp, Chief Technology Officer) no longer on Schedule A of Kestra Institutional Services, Llc (listed 2018-03-29, absent 2019-03-29)
    Mar 29, 2019 · Control person left · inference
  • Paul Mark Schoenbeck (Evp, National Sales Director) no longer on Schedule A of Kestra Institutional Services, Llc (listed 2018-03-29, absent 2019-03-29)
    Mar 29, 2019 · Control person left · inference
  • Lawless Kristen Chester (Chief Operating Officer, Executive Vice President) appeared on Schedule A of Kestra Institutional Services, Llc
    Mar 29, 2019 · Control person joined · fact
  • Nfp Ria Services reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Nov 10, 2014 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
Principal office phone
844-553-7872reportedpublic record, Form ADV, Jun 30, 2026
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
No RAUM reportedderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026