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
Keystone Financial Resources, LLC
Legal name Keystone Wealth Alliance, LLC
Latest filing Sep 16, 2026
First filing on the tape May 18, 2026 · 3 filings
SEC status 120-day approval since Jun 4, 2026
RAUM
$179M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$179M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$44.6M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$0 as of Aug 11, 2026
May 18, 2026$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Aug 11, 2026
May 18, 20264 then
Employees (5.A)4 as of Aug 11, 2026
May 18, 20264 then
Private funds: no history
Practice profile
derived from the filing of Sep 16, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $44.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 25derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $513,014derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $179MreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$153M86%
- Individuals$25.2M14%
- Individual clients
- 28reported
- HNW clients
- 72reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 348reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Ray Glenn Price · Chief Investment Officercontrolsince 03/2026 · owns less than 5%
- J Noah Scott · Chief Operating Officercontrolsince 03/2026 · owns less than 5%
- Jonathan William Scott · Chief Executive Officercontrolsince 03/2026 · owns less than 5%
- Blake Dillon Woodruff · Chief Compliance Officercontrolsince 03/2026 · owns less than 5%
Entity owners
- Keystone Venture Holdings LLC · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Brentwood, Tn · principal | 4 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 348Aug 11, 2026 to Sep 16, 2026
- HNW clients · unset to 72.0Aug 11, 2026 to Sep 16, 2026
- Individual clients · unset to 28.0Aug 11, 2026 to Sep 16, 2026
- Financial planning clients · 0 to 0Aug 11, 2026 to Sep 16, 2026
- Discretionary RAUM · $0 to $179MAug 11, 2026 to Sep 16, 2026
- HNW RAUM · unset to 153339724.0Aug 11, 2026 to Sep 16, 2026
- Individual RAUM · unset to 25189011.0Aug 11, 2026 to Sep 16, 2026
- RAUM · $0 to $179MAug 11, 2026 to Sep 16, 2026
- Related adviser · false to unsetAug 11, 2026 to Sep 16, 2026
- Related bank · false to unsetAug 11, 2026 to Sep 16, 2026
- Related broker-dealer · false to unsetAug 11, 2026 to Sep 16, 2026
- Related insurance company · false to unsetAug 11, 2026 to Sep 16, 2026
- Succession · false to unsetAug 11, 2026 to Sep 16, 2026
Signals
No event on the tape.
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
- keystonewealtalliance.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 707-932-5849reportedpublic record, Form ADV, Sep 16, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $44.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026