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
Kingswood Wealth Advisors, LLC
Latest filing Sep 14, 2026
First filing on the tape Jun 5, 2017 · 92 filings
SEC status approved since Jul 3, 2017
RAUM
$3.8B
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
97%
$3.7B individuals and HNW
Advisors
124
registered through the firm on IAPD
RAUM per advisor
$30.7M
derived; firm RAUM over IAPD count
Employees
88
76 advisory (5.B.1)
Offices
43
beyond the principal office
Private funds
0
reported on Schedule D
History
92 filings and snapshots on the tape
RAUM$3.8B as of Aug 31, 2026
Mar 30, 2018$99.2M then
HNW client RAUM$2.1B as of Aug 31, 2026
Mar 30, 2018$50.8M then
State-registered IARs (5.B.3)73 as of Aug 31, 2026
Mar 30, 20186 then
Employees (5.A)88 as of Aug 31, 2026
Mar 30, 20187 then
Private funds: no history
RAUM +54% over the last fiscal year+58% a year over threeIARs 73 to 73
Practice profile
derived from the filing of Sep 14, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $30.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 92derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $925,780derivedHNW RAUM over HNW clients
- Average account
- $309,683derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.7derivedItem 5.A over advisors
- Advisors per office
- 2.8derived44 offices incl. principal (1.F.5)
- RAUM growth, one year
- +54%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +24%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- Wrap fee program
- $23.0MreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Firms absorbed, 24 months
- 1derivedhalf or more of a firm's advisors moved here within 14 days
- 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
- High-net-worth individuals$2.1B55%
- Individuals$1.6B41%
- Corporations and businesses$82.5M2.2%
- Pension and profit-sharing plans$21.6M0.6%
- Insurance companies$9.1M0.2%
- Charitable organizations$7.1M0.2%
- Individual clients
- 8,985reported
- HNW clients
- 2,274reported
- Pension plan clients
- 57reported
- Charitable clients
- 2reported
- Accounts
- 12,273reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $23.0M sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=false bd_reps=70.0derived
Advisors registered through the firm
121 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Steven George CollinsCertified Financial Planner | Phoenix, Az | Aug 31, 2017 | 39 y | 2 |
| Mohamed A Alsoraimi | San Diego, Ca | Jan 4, 2018 | 11 y | 2 |
| Douglas E Dort | San Diego, Ca | Oct 2, 2018 | 19 y | 1 |
| Norman Lee AndersonChartered Financial Consultant | San Diego, Ca | Nov 7, 2018 | 42 y | 2 |
| Bruce George Mclaren | Sugar Hill, Nh | Nov 13, 2018 | 28 y | 1 |
| Judson Harris Gee | Charlotte, Nc | Feb 7, 2019 | 32 y | 2 |
| Peter Frederic StegerChartered Financial Consultant | Chicago, Il | Mar 1, 2019 | 42 y | 3 |
| Ashley Jo Webb | San Diego, Ca | Jan 20, 2021 | 10 y | 1 |
| Michael Haskel Nessim | New York, Ny | Apr 7, 2021 | 31 y | 3 |
| Richard S Siminou | San Diego, Ca | Jun 4, 2021 | 17 y | 1 |
| Robert Joseph Ryder | San Diego, Ca | Jul 28, 2021 | 41 y | 4 |
| Tyler Thomas Bashaw | San Diego, Ca | Jul 30, 2021 | 21 y | 6 |
| Danielle Marie Mariano | San Diego, Ca | Aug 19, 2021 | 17 y | 1 |
| Robert Leonard Defreze | San Diego, Ca | Aug 19, 2021 | 39 y | 1 |
| Namhee Park | Fullerton, Ca | Oct 5, 2021 | 13 y | 3 |
| Paul Sangyop Lee | San Diego, Ca | Oct 22, 2021 | 17 y | 9 |
| Donald Irving Kuhs | San Diego, Ca | Dec 8, 2021 | 45 y | 2 |
| Cynthia A Pulver | San Diego, Ca | Dec 24, 2021 | 30 y | 6 |
| Dominick Vincent Pullano | San Diego, Ca | Jan 3, 2022 | 42 y | 3 |
| Barry Waxler | San Diego, Ca | Jan 3, 2022 | 33 y | 8 |
| Anthony Albert NardiCertified Financial Planner | San Diego, Ca | Jan 3, 2022 | 12 y | 3 |
| Kalyan Kavili | San Diego, Ca | Jan 3, 2022 | 17 y | 2 |
| Michael Muratore | San Diego, Ca | Jan 4, 2022 | 21 y | 5 |
| Thomas Edwards Grimm | San Diego, Ca | Jan 4, 2022 | 29 y | 5 |
| John Loeffler | Freeport, Il | Jan 4, 2022 | 9 y | 3 |
| Logan Brooks Lowrey | Stockbridge, Ga | Jan 4, 2022 | 16 y | 4 |
| Christopher Thomas Doyle | San Diego, Ca | Jan 26, 2022 | 39 y | 7 |
| Nicole Marie English | San Diego, Ca | Feb 23, 2022 | 20 y | 3 |
| Bradley Seth Mayer | Pflugerville, Tx | Mar 4, 2022 | 26 y | 9 |
| Stephen M Digennaro | San Diego, Ca | Mar 10, 2022 | 25 y | 3 |
| Nelson E Dort | San Diego, Ca | Mar 25, 2022 | 19 y | 0 |
| William Gene Bianchi | Spencerport, Ny | May 17, 2022 | 20 y | 2 |
| Renee Grace Faison | Foothill Ranch, Ca | Jun 13, 2022 | 30 y | 4 |
| Conrad Kenneth Branson | Kentfield, Ca | Jun 21, 2022 | 28 y | 5 |
| Michael Wayne Nakanishi | San Diego, Ca | Aug 19, 2022 | 29 y | 1 |
| Niklaus W Pleisch | San Diego, Ca | Sep 1, 2022 | 15 y | 1 |
| John Norman Bliss | San Diego, Ca | Sep 2, 2022 | 24 y | 2 |
| Svitlana S Kyrukhina | San Diego, Ca | Sep 21, 2022 | 12 y | 1 |
| Michael TsiaklidesCertified Financial Planner | San Diego, Ca | Sep 27, 2022 | 27 y | 5 |
| Dean T Antonopoulos | Carmel, In | Oct 4, 2022 | 34 y | 3 |
Advisor movement
4 left, 22 joined in 12 months
net +18 in 12 months1 left in 90 days5 joined in 90 daysdeparture rate 3.2% of current headcount22 left over 36 months
Left, latest
- Daniel Fulvio Spagnolo to Kestra Advisory Services, LLCSep 15, 2026 · Affiliated broker-dealer or bank to another
- Enrico Giovanni Cacciapuoti to Bfc Planning, Inc.Mar 18, 2026 · Affiliated broker-dealer or bank to another
- Isabelle Marie Beal to EntrewealthNov 13, 2025 · Affiliated broker-dealer or bank to independent RIA
- Derrick Salvador Avelar to Simplicity WealthOct 31, 2025 · Affiliated broker-dealer or bank to independent RIA
- Adam Bar to Rtb Wealth Advisors, LLCAug 25, 2025 · Affiliated broker-dealer or bank to a state-registered adviser
- Henry Joseph O'Brien to Emerson Equity LLCAug 1, 2025 · Affiliated broker-dealer or bank to another
- Gregory A Lemon to Ameriprise Financial Services, LLCJun 9, 2025 · Affiliated broker-dealer or bank to another
- Daniel M King to Emerson Equity LLCMay 12, 2025 · Affiliated broker-dealer or bank to another
- Matthew J Nielsen to Emerson Equity LLCMar 25, 2025 · Affiliated broker-dealer or bank to another
- Rikin Kaushik Patel to Emerson Equity LLCMar 25, 2025 · Affiliated broker-dealer or bank to another
- John Jason Ferneau to Emerson Equity LLCMar 19, 2025 · Affiliated broker-dealer or bank to another
- Devon Mclain to Wells Fargo AdvisorsJan 22, 2025 · Affiliated broker-dealer or bank to wirehouse
- Careena Patel to Wealth Benefit Advisors, LLCSep 4, 2024 · Affiliated broker-dealer or bank to independent RIA
- David Salinas to Wells Fargo AdvisorsAug 16, 2024 · Affiliated broker-dealer or bank to wirehouse
- Scott Rothbort to Osaic Advisory Services, LLCJul 16, 2024 · Affiliated broker-dealer or bank to another
Joined, latest
- John Troy Gilmore from Tlg Advisors, Inc.Aug 28, 2026 · Affiliated broker-dealer or bank to another
- Daniel Augustine Leyva from LPL Financial LLCAug 25, 2026 · Affiliated broker-dealer or bank to another
- John Francis Longman from Merrill Lynch, Pierce, Fenner & Smith IncorporatedAug 10, 2026 · Wirehouse to affiliated broker-dealer or bank
- Raffi Robert Vartanian from Morgan StanleyJul 24, 2026 · Wirehouse to affiliated broker-dealer or bank
- Michelle L Vartanian from Morgan StanleyJun 24, 2026 · Wirehouse to affiliated broker-dealer or bank
- Frank Edward Zaccardo from LPL Financial LLCMay 26, 2026 · Affiliated broker-dealer or bank to another
- William Stuart Finnie from Dempsey Lord Smith, LLCMay 6, 2026 · RIA to affiliated broker-dealer or bank
- Chad Evan Polin from Truist Advisory Services, Inc.Apr 6, 2026 · Affiliated broker-dealer or bank to another
- Scott Elliott Poore from Eudaimonia Advisors LLCMar 24, 2026 · RIA to affiliated broker-dealer or bank
- Enrico Giovanni Cacciapuoti from First Heartland Consultants, Inc.Feb 26, 2026 · Affiliated broker-dealer or bank to another
- Grant Wheeler Goldberg from Dempsey Lord Smith, LLCJan 29, 2026 · RIA to affiliated broker-dealer or bank
- Jefferson Trent Olney from Dempsey Lord Smith, LLCJan 12, 2026 · RIA to affiliated broker-dealer or bank
- Christian Syng-Gi Park from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJan 7, 2026 · Wirehouse to affiliated broker-dealer or bank
- Matthew Land from Dempsey Lord Smith, LLCJan 2, 2026 · RIA to affiliated broker-dealer or bank
- Kim Desio from Alden Investment GroupNov 28, 2025 · RIA to affiliated broker-dealer or bank
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Emerson Equity LLCMar 19, 2025 · San Diego, Ca
- 3 left for Ameriprise Financial Services, LLCNov 3, 2023 · San Diego, Ca
- 2 left for M Stevens Wealth Advisors, LLCSep 18, 2018 · San Diego, Ca
- 2 joined from Morgan StanleyApr 29, 2026 · Coral Springs, Fl
- 3 joined from Dempsey Lord Smith, LLCNov 21, 2025 · Calhoun, Ga
- 2 joined from Raymond James Financial Services Advisors, IncOct 21, 2025 · Watkinsville, Ga
- 2 joined from Cadaret Grant & Co IncMay 30, 2025 · Syracuse, Ny
- 2 joined from Eudaimonia Partners, LLCApr 2, 2025 · Athens, Ga
- 8 joined from Eudaimonia Partners, LLCApr 2, 2025 · Winchester, Tn · Firm absorbed
- 2 joined from Eudaimonia Advisors LLCJan 22, 2025 · Winchester, Tn
- 2 joined from Eudaimonia Partners, LLCSep 3, 2024 · Winchester, Tn
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A Mohamed Alsoraimi · Chief Compliance Officercontrolsince 08/2018 · owns less than 5%
- Haskel Michael Nessim · Ceocontrolsince 04/2021 · owns less than 5%
- P Valeriy Rayevskiy · Coocontrolsince 01/2022 · owns less than 5%
- Mathew Jeremy Wilder · Chief Legal Officercontrolsince 01/2022 · owns less than 5%
- Marie Nicole English · Operations Principalsince 05/2021 · owns less than 5%
- Galione Jaime Golden · President - Business Development And Acquisitionssince 01/2020 · owns less than 5%
- Jo Ashley Webb · Director Of Operationssince 05/2021 · owns less than 5%
Entity owners
- Kingswood US, LLC · Sole Memberdirect · owns 75% or more
- Kingswood Holdings Ltd · Shareholderindirect · owns 75% or more of Kw Wealth Group Ltd
- Kingswood US Holdings, Inc. · Memberindirect · owns 50% to 75% of Kingswood US, LLC
- Kw Wealth Group Ltd · Shareholderindirect · owns 75% or more of Kingswood US Holdings, Inc.
Related persons
Schedule D 7.A
- Benchmark Advisory Services, LLCinvestment advisern
- Kingswood Capital Partners, LLCbroker-dealerreal estaten
Advisers that list Kingswood Wealth Advisors, LLC as a related person
- 305662 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Diego, Ca · principal | 103 | 23 | 2 | ||
| New York, Ny | 6 | 0 | 0 | ||
| Nashville, Tn | 5 | 0 | 0 | ||
| Franklin, Tn | 4 | 0 | 0 | ||
| Rochester, Ny | 4 | 0 | 0 | ||
| Watkinsville, Ga | 4 | 2 | 0 | ||
| Boca Raton, Fl | 3 | 2 | 0 | ||
| Roseville, Ca | 3 | 1 | 0 | ||
| Santa Barbara, Ca | 3 | 0 | 0 | ||
| Memphis, Tn | 2 | 1 | 0 | ||
| New Britain, Pa | 2 | 0 | 0 | ||
| Athens, Ga | 2 | 0 | 0 | ||
| Atlanta, Ga | 2 | 1 | 0 | ||
| Campbell, Ca | 2 | 0 | 0 | ||
| Clearwater, Fl | 2 | 0 | 0 | ||
| Dallas, Tx | 2 | 0 | 1 | ||
| Dalton, Ga | 2 | 2 | 0 | ||
| Fullerton, Ca | 2 | 0 | 0 | ||
| Lehi, Ut | 2 | 0 | 0 | ||
| Manhattan Beach, Ca | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- New York, NY6 employees
- Stockbridge, GA2 employees
- Rochester, NY2 employees
- American Fork, UT2 employees
- Campbell, CA2 employees
- Fullerton, CA2 employees
- Dallas, TX2 employees
- Carmel, IN1 employees
- Charlotte, NC1 employees
- Clearwater, FL1 employees
- Danville, KY1 employees
- Denver, CO1 employees
- Fairfield, NJ1 employees
- Foothill Ranch, CA1 employees
- Freeport, IL1 employees
- Gilbert, AZ1 employees
- Greenville, SC1 employees
- Honolulu, HI1 employees
- Manhattan Beach, CA1 employees
- Miami, FL1 employees
- Nashville, TN1 employees
- Phoenix, AZ1 employees
- Quitman, GA1 employees
- Rochester, NY1 employees
- Rochester, NY1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 26, 2026RAUM (Item 5.F) moved from $2,470,940,336 to $3,800,734,890 (+54.0%) between the annual amendments of 2025-03-26 and 2026-03-26; the peer median change was +22.0% (52 comparable advisers, 96.0th percentile of changes)peers: affiliated wealth managers, $1B to $5B (52) · 96% percentile
What changed
consecutive filings, newest first
- Financial planning clients · 1-10 to 1-10Aug 31, 2026 to Sep 14, 2026
- Succession · false to unsetAug 31, 2026 to Sep 14, 2026
- Accounts · 9,250 to 12,273Feb 17, 2026 to Mar 26, 2026
- Advisory employees · 73 to 76Feb 17, 2026 to Mar 26, 2026
- BD registered reps · 69 to 70Feb 17, 2026 to Mar 26, 2026
- Charity clients · 15 to 2Feb 17, 2026 to Mar 26, 2026
- Corporate clients · 82 to 105Feb 17, 2026 to Mar 26, 2026
- HNW clients · 1,437 to 2,274Feb 17, 2026 to Mar 26, 2026
- Individual clients · 7,618 to 8,985Feb 17, 2026 to Mar 26, 2026
- Pension plan clients · 74 to 57Feb 17, 2026 to Mar 26, 2026
- Employees · 80 to 88Feb 17, 2026 to Mar 26, 2026
- Discretionary RAUM · $2.4B to $3.5BFeb 17, 2026 to Mar 26, 2026
- HNW RAUM · $1.1B to $2.1BFeb 17, 2026 to Mar 26, 2026
- Individual RAUM · $1.2B to $1.6BFeb 17, 2026 to Mar 26, 2026
- Non-discretionary RAUM · $39.8M to $306MFeb 17, 2026 to Mar 26, 2026
- Pension RAUM · $17.6M to $21.6MFeb 17, 2026 to Mar 26, 2026
- RAUM · $2.5B to $3.8BFeb 17, 2026 to Mar 26, 2026
- Wrap assets (sponsor) · $19.2M to $23.0MFeb 17, 2026 to Mar 26, 2026
- Accounts · 4,527 to 9,250Sep 6, 2024 to Mar 26, 2025
- Charity clients · 3 to 15Sep 6, 2024 to Mar 26, 2025
- Corporate clients · 323 to 82Sep 6, 2024 to Mar 26, 2025
- HNW clients · 544 to 1,437Sep 6, 2024 to Mar 26, 2025
- Individual clients · 3,629 to 7,618Sep 6, 2024 to Mar 26, 2025
- Pension plan clients · 27 to 74Sep 6, 2024 to Mar 26, 2025
- Financial planning clients · 1-10 to 1-10Sep 6, 2024 to Mar 26, 2025
- Discretionary RAUM · $1.0B to $2.4BSep 6, 2024 to Mar 26, 2025
- HNW RAUM · $397M to $1.1BSep 6, 2024 to Mar 26, 2025
- Individual RAUM · $435M to $1.2BSep 6, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $18.1M to $39.8MSep 6, 2024 to Mar 26, 2025
- Pension RAUM · $5.4M to $17.6MSep 6, 2024 to Mar 26, 2025
- RAUM · $1.0B to $2.5BSep 6, 2024 to Mar 26, 2025
- Other offices · 7 to 43Jan 31, 2024 to Mar 28, 2024
- Accounts · 2,720 to 4,527Mar 28, 2024 to Mar 28, 2024
- Advisory employees · 78 to 73Mar 28, 2024 to Mar 28, 2024
- BD registered reps · 74 to 69Mar 28, 2024 to Mar 28, 2024
- Charity clients · 0 to 3Mar 28, 2024 to Mar 28, 2024
- Corporate clients · 0 to 323Mar 28, 2024 to Mar 28, 2024
- HNW clients · 210 to 544Mar 28, 2024 to Mar 28, 2024
- Individual clients · 1,425 to 3,629Mar 28, 2024 to Mar 28, 2024
- Pension plan clients · 0 to 27Mar 28, 2024 to Mar 28, 2024
Signals
60 dated events
- Daniel Fulvio Spagnolo left Kingswood Wealth Advisors, LLC for Kestra Advisory Services, LLC (registered 2026-09-14)Sep 15, 2026 · Advisor changed firm · fact
- 2 advisors left Morgan Stanley (Coral Springs, FL) for Kingswood Wealth Advisors, LLC on the same dayApr 29, 2026 · Team lift-out · derived
- Kingswood Wealth Advisors, Llc reported RAUM $3.8B, up 54% from $2.5B (2026-02-17 to 2026-03-26)Mar 26, 2026 · RAUM change · derived
- Enrico Giovanni Cacciapuoti left Kingswood Wealth Advisors, Llc for Bfc Planning, Inc. (registered 2026-04-07)Mar 18, 2026 · Advisor changed firm · fact
- 3 advisors left Dempsey Lord Smith, LLC (Dalton, GA) for Kingswood Wealth Advisors, LLC within 11 daysNov 21, 2025 · Team lift-out · derived
- Isabelle Marie Beal left Kingswood Wealth Advisors, Llc for Entrewealth (registered 2026-01-01)Nov 13, 2025 · Advisor changed firm · fact
- Derrick Salvador Avelar left Kingswood Wealth Advisors, Llc for Simplicity Wealth (registered 2026-01-06)Oct 31, 2025 · Advisor changed firm · fact
- 2 advisors left Raymond James Financial Services Advisors, Inc (Watkinsville, GA) for Kingswood Wealth Advisors, LLC on the same dayOct 21, 2025 · Team lift-out · derived
- Adam Bar left Kingswood Wealth Advisors, Llc for Rtb Wealth Advisors, Llc (registered 2025-11-13)Aug 25, 2025 · Advisor changed firm · fact
- Henry Joseph O'Brien left Kingswood Wealth Advisors, Llc for Emerson Equity Llc (registered 2026-04-13)Aug 1, 2025 · Advisor changed firm · fact
- Gregory A Lemon left Kingswood Wealth Advisors, Llc for Ameriprise Financial Services, Llc (registered 2025-10-13)Jun 9, 2025 · Advisor changed firm · fact
- 2 advisors left Cadaret Grant & CO Inc (Syracuse, NY) for Kingswood Wealth Advisors, LLC on the same dayMay 30, 2025 · Team lift-out · derived
- Daniel M King left Kingswood Wealth Advisors, Llc for Emerson Equity Llc (registered 2025-04-11)May 12, 2025 · Advisor changed firm · fact
- 2 advisors left Eudaimonia Partners, LLC (Athens, GA) for Kingswood Wealth Advisors, LLC on the same dayApr 2, 2025 · Team lift-out · derived
- Eudaimonia Partners, LLC's advisors moved to Kingswood Wealth Advisors, LLC (Winchester, TN): 8 of 11 registered, on the same dayApr 2, 2025 · Firm absorbed (people side) · derived
- Kingswood Wealth Advisors, Llc reported RAUM $2.5B, up 137% from $1.0B (2024-09-06 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- Rikin Kaushik Patel left Kingswood Wealth Advisors, Llc for Emerson Equity Llc (registered 2025-03-27)Mar 25, 2025 · Advisor changed firm · fact
- Matthew J Nielsen left Kingswood Wealth Advisors, Llc for Emerson Equity Llc (registered 2025-03-31)Mar 25, 2025 · Advisor changed firm · fact
- John Jason Ferneau left Kingswood Wealth Advisors, Llc for Emerson Equity Llc (registered 2025-03-18)Mar 19, 2025 · Advisor changed firm · fact
- 3 advisors left Kingswood Wealth Advisors, LLC (San Diego, CA) for Emerson Equity LLC within 6 daysMar 19, 2025 · Team lift-out · derived
- Devon Mclain left Kingswood Wealth Advisors, Llc for Wells Fargo Advisors (registered 2025-02-20)Jan 22, 2025 · Advisor changed firm · fact
- 2 advisors left Eudaimonia Advisors LLC (Winchester, TN) for Kingswood Wealth Advisors, LLC on the same dayJan 22, 2025 · Team lift-out · derived
- Careena Patel left Kingswood Wealth Advisors, Llc for Wealth Benefit Advisors, Llc (registered 2024-09-20)Sep 4, 2024 · Advisor changed firm · fact
- 2 advisors left Eudaimonia Partners, LLC (Winchester, TN) for Kingswood Wealth Advisors, LLC on the same daySep 3, 2024 · Team lift-out · derived
- David Salinas left Kingswood Wealth Advisors, Llc for Wells Fargo Advisors (registered 2024-08-16)Aug 16, 2024 · Advisor changed firm · fact
- Scott Rothbort left Kingswood Wealth Advisors, Llc for Osaic Advisory Services, Llc (registered 2024-07-01)Jul 16, 2024 · Advisor changed firm · fact
- Carly Rothbort left Kingswood Wealth Advisors, Llc for Osaic Advisory Services, Llc (registered 2024-07-01)Jul 16, 2024 · Advisor changed firm · fact
- Andrea Michelle Whitmire left Kingswood Wealth Advisors, Llc for Go Wealth Management (registered 2024-05-03)Apr 25, 2024 · Advisor changed firm · fact
- Stephen Todd Walker left Kingswood Wealth Advisors, Llc for Vanderbilt Advisory Services (registered 2024-04-15)Apr 3, 2024 · Advisor changed firm · fact
- Kingswood Wealth Advisors, Llc reported 43 offices beyond its principal office, up from 7 (2024-01-31 to 2024-03-28)Mar 28, 2024 · Office count change · derived
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
- Website
- kingswoodus.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 800-535-6981reportedpublic record, Form ADV, Sep 14, 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
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $30.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026