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.

Former SEC-registered adviser

Kms Financial Services, Inc

Former SEC-registered adviserSeattle, WashingtonCRD 3866SEC 801-11375IAPD
Legal name Kms Financial Services, Inc.
Latest filing Nov 9, 2020
First filing on the tape Mar 29, 2012 · 70 filings
RAUM
$8.2B
reported, Item 5.F
Discretionary
82%
of RAUM
Private clients
94%
$7.7B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
429
390 advisory (5.B.1)
Offices
384
beyond the principal office
Private funds
0
reported on Schedule D
History
70 filings and snapshots on the tape
RAUM$8.2B as of Mar 30, 2020
Mar 29, 2012$2.4B then
HNW client RAUM$4.8B as of Mar 30, 2020
Mar 30, 2018$4.0B then
State-registered IARs (5.B.3)390 as of Mar 30, 2020
Mar 29, 20120 then
Employees (5.A)429 as of Mar 30, 2020
Mar 21, 2013388 then
Private funds: no history
RAUM +28% over the last fiscal year+11% a year over threeIARs 377 to 390offices 371 to 384
Practice profile
derived from the filing of Nov 9, 2020; every figure names its basis
RAUM per advisor
$21.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
37derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.1MderivedHNW RAUM over HNW clients
Average account
$241,998derivedRAUM over accounts (5.F.2.f)
Discretionary
82%derivedof RAUM
Institutional
4.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
1.0derived385 offices incl. principal (1.F.5)
RAUM growth, one year
+28%derivedbetween the last two annual amendments
Advisor growth, one year
+3.4%derivedItem 5.B.3 between annual amendments
Client growth, one year
-18%derived
Compensation
percentage of assets, hourly, fixed fees, commissions, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
Financial planning clients
1,000reportedItem 5.H
Wrap fee program
$365MreportedItem 5.I
Custody
$282M, 7,638 clientsreportedItem 9.A
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
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$4.8B59%
  • Individuals$2.9B35%
  • Pension and profit-sharing plans$371M4.5%
  • Corporations and businesses$102M1.3%
  • Charitable organizations$10.8M0.1%
  • Pooled investment vehicles$7.3M0.1%
  • State and municipal entities$1.5M0.0%
Individual clients
10,057reported
HNW clients
4,476reported
Pension plan clients
124reported
Charitable clients
16reported
Accounts
33,857reported
Financial planning clients
1,000reported
Wrap fee programs
$182M sponsored, $182M managedreported
Custody of client assets
$282M for 7,638 clientsreported
Compensation
% of AUM, fixed, hourly, commissionsreported
Class basis
absent from the latest SEC rosterderived
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
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Bernard Andre Breton · Chief Compliance Officercontrol
    since 03/2020 · owns less than 5%
  • Erinn June Ford · President & Ceocontrol
    since 04/2019 · owns less than 5%
  • Linda Lee Harrington · Vice President Of Advisory Compliancecontrol
    since 08/2017 · owns less than 5%
  • Jeffrey Scott Sims · Cfo, Principal Financial Officer, Principal Operations Officercontrol
    since 03/2015 · owns less than 5%
  • Mark Christopher Zellerhoff · Senior Vice President Of Operationscontrol
    since 02/2020 · owns less than 5%
  • Milton Ralph Berlinski · Membercontrol
    since 08/2014 · owns 25% to 50% of Rcp Genpar Holdco LLC
  • Milton Ralph Berlinski · General Partnercontrol
    since 08/2014 · owns F of Rcp Genpar LP
  • Milton Ralph Berlinski · General Partnercontrol
    since 01/2018 · owns F of Rcp Opp Fund II Gp, LP
  • Milton Ralph Berlinski · Trusteecontrol
    since 08/2014 · owns F of The Berlinski Family 2006 Trust
  • Milton Ralph Berlinski · Investment Managercontrol
    since 08/2014 · owns F of Mrb Icbc LLC
Entity owners
  • Advisor Group Holdings, Inc. · Shareholder
    direct · owns 75% or more
  • Ag Artemis Holdings Gp, LLC · General Partner
    indirect · owns F of Ag Artemis Holdings, L.P.
  • Ag Artemis Holdings, L.P. · Shareholder
    indirect · owns 75% or more of Ag Intermediate Corp.
  • Ag Intermediate Corp. · Shareholder
    indirect · owns 75% or more of Ladenburg Thalmann Financial Services, Inc.
  • Ag Parent Corp. · Shareholder
    indirect · owns 75% or more of Advisor Group Holdings, Inc.
  • Ladenburg Thalmann Financial Services, Inc. · Shareholder
    indirect · owns 75% or more of Ag Parent Corp.
  • Mrb Icbc LLC · Member
    indirect · owns 25% to 50% of Rcp Genpar Holdco LLC
  • Rcp Artemis Co-Invest Gp LLC · General Partner
    indirect · owns F of Rcp Artemis Co-Invest, L.P.
  • Rcp Artemis Co-Invest, L.P. · Limited Partner
    indirect · owns 50% to 75% of Ag Artemis Holdings, L.P.
  • Rcp Genpar Holdco LLC · Limited Partner
    indirect · owns 75% or more of Rcp Genpar LP
  • Rcp Genpar LP · Limited Partner
    indirect · owns 75% or more of Rcp Opp Fund II Gp, LP
  • Rcp Opp Fund II Gp, LP · Member
    indirect · owns 75% or more of Ag Artemis Holdings Gp, LLC
  • Rcp Opp Fund II Gp, LP · Member
    indirect · owns 75% or more of Rcp Artemis Co-Invest Gp LLC
  • The Berlinski Family 2006 Trust · Member
    indirect · owns 75% or more of Mrb Icbc LLC
Related persons
Schedule D 7.A
Advisers that list Kms Financial Services, Inc as a related person
Offices
Schedule D 1.F, the 25 largest
  • Vancouver, WA8 employees
  • Bethlehem, PA6 employees
  • Lewiston, ID5 employees
  • Pocatello, ID5 employees
  • Vancouver, WA4 employees
  • Spokane, WA4 employees
  • Eugene, OR4 employees
  • Vancouver, WA3 employees
  • Lake Oswego, OR3 employees
  • Weatherford, TX3 employees
  • San Jose, CA3 employees
  • Sioux Falls, SD3 employees
  • Kirkland, WA3 employees
  • San Jose, CA3 employees
  • Salem, OR3 employees
  • , 3 employees
  • Boise, ID3 employees
  • Bellevue, WA3 employees
  • Lagrande, OR3 employees
  • Meridian, ID3 employees
  • Eugene, OR3 employees
  • Mercer Island, WA3 employees
  • Edmonds, WA2 employees
  • Eugene, OR2 employees
  • Vancouver, WA2 employees
What changed
consecutive filings, newest first
  • Accounts · 29,380 to 33,857
    Mar 13, 2020 to Mar 30, 2020
  • Advisory employees · 377 to 390
    Mar 13, 2020 to Mar 30, 2020
  • BD registered reps · 356 to 372
    Mar 13, 2020 to Mar 30, 2020
  • Charity clients · 11 to 16
    Mar 13, 2020 to Mar 30, 2020
  • Corporate clients · 149 to 118
    Mar 13, 2020 to Mar 30, 2020
  • HNW clients · 5,248 to 4,476
    Mar 13, 2020 to Mar 30, 2020
  • Individual clients · 12,426 to 10,057
    Mar 13, 2020 to Mar 30, 2020
  • Pension plan clients · 242 to 124
    Mar 13, 2020 to Mar 30, 2020
  • Pooled vehicle clients · 10 to 12
    Mar 13, 2020 to Mar 30, 2020
  • Assets in custody · $251M to $282M
    Mar 13, 2020 to Mar 30, 2020
  • Employees · 419 to 429
    Mar 13, 2020 to Mar 30, 2020
  • Insurance-licensed employees · 13 to 9
    Mar 13, 2020 to Mar 30, 2020
  • State-registered IARs · 377 to 390
    Mar 13, 2020 to Mar 30, 2020
  • Other offices · 371 to 384
    Mar 13, 2020 to Mar 30, 2020
  • Discretionary RAUM · $5.1B to $6.7B
    Mar 13, 2020 to Mar 30, 2020
  • HNW RAUM · $3.7B to $4.8B
    Mar 13, 2020 to Mar 30, 2020
  • Individual RAUM · $2.2B to $2.9B
    Mar 13, 2020 to Mar 30, 2020
  • Non-discretionary RAUM · $1.3B to $1.5B
    Mar 13, 2020 to Mar 30, 2020
  • Pension RAUM · $343M to $371M
    Mar 13, 2020 to Mar 30, 2020
  • Pooled vehicle RAUM · $7.7M to $7.3M
    Mar 13, 2020 to Mar 30, 2020
  • RAUM · $6.4B to $8.2B
    Mar 13, 2020 to Mar 30, 2020
  • Wrap assets (manager) · $211M to $182M
    Mar 13, 2020 to Mar 30, 2020
  • Wrap assets (sponsor) · $211M to $182M
    Mar 13, 2020 to Mar 30, 2020
  • Related insurance company · true to false
    Feb 19, 2020 to Mar 13, 2020
  • Accounts · 26,740 to 29,380
    Jan 2, 2019 to Mar 29, 2019
  • Advisory employees · 332 to 377
    Jan 2, 2019 to Mar 29, 2019
  • Advisory activities · 7 to 9
    Jan 2, 2019 to Mar 29, 2019
  • BD registered reps · 319 to 356
    Jan 2, 2019 to Mar 29, 2019
  • Charity clients · unset to 11.0
    Jan 2, 2019 to Mar 29, 2019
  • Corporate clients · 151 to 149
    Jan 2, 2019 to Mar 29, 2019
  • HNW clients · 5,455 to 5,248
    Jan 2, 2019 to Mar 29, 2019
  • Individual clients · 12,044 to 12,426
    Jan 2, 2019 to Mar 29, 2019
  • Pension plan clients · 252 to 242
    Jan 2, 2019 to Mar 29, 2019
  • Pooled vehicle clients · 6 to 10
    Jan 2, 2019 to Mar 29, 2019
  • Assets in custody · $316M to $251M
    Jan 2, 2019 to Mar 29, 2019
  • Employees · 368 to 419
    Jan 2, 2019 to Mar 29, 2019
  • Insurance-licensed employees · 4 to 13
    Jan 2, 2019 to Mar 29, 2019
  • State-registered IARs · 332 to 377
    Jan 2, 2019 to Mar 29, 2019
  • Discretionary RAUM · $5.2B to $5.1B
    Jan 2, 2019 to Mar 29, 2019
  • HNW RAUM · $4.0B to $3.7B
    Jan 2, 2019 to Mar 29, 2019
Signals
33 dated events
  • Nina Mckenna (Secretary) no longer on Schedule A of Kms Financial Services, Inc (listed 2020-10-16, absent 2020-11-09)
    Nov 9, 2020 · Control person left · inference
  • Eric Stanley Westberg (Chairman Emeritus) no longer on Schedule A of Kms Financial Services, Inc (listed 2020-10-16, absent 2020-11-09)
    Nov 9, 2020 · Control person left · inference
  • Joseph N/A Giovanniello (Director) no longer on Schedule A of Kms Financial Services, Inc (listed 2020-10-16, absent 2020-11-09)
    Nov 9, 2020 · Control person left · inference
  • Philip Salvatore Blancato (Director) no longer on Schedule A of Kms Financial Services, Inc (listed 2020-10-16, absent 2020-11-09)
    Nov 9, 2020 · Control person left · inference
  • 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)
    Nov 9, 2020 · Control person left · inference
  • 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)
    Nov 9, 2020 · Control person left · inference
  • 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)
    Nov 9, 2020 · Control person left · inference
  • 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)
    Nov 9, 2020 · Control person left · inference
  • Doreen Louise Griffith (Chief Technology Officer) no longer on Schedule A of Kms Financial Services, Inc (listed 2020-10-16, absent 2020-11-09)
    Nov 9, 2020 · Control person left · inference
  • 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)
    Nov 9, 2020 · Control person left · inference
  • James Dale Price (Chairman) no longer on Schedule A of Kms Financial Services, Inc (listed 2020-10-16, absent 2020-11-09)
    Nov 9, 2020 · Control person left · inference
  • 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)
    Nov 9, 2020 · Control person left · inference
  • James Dale Price (Chairman) appeared on Schedule A of Kms Financial Services, Inc
    Jun 26, 2020 · Control person joined · fact
  • Matthew Adam Schlueter (Executive Vice President, Director) appeared on Schedule A of Kms Financial Services, Inc
    Jun 26, 2020 · Control person joined · fact
  • Brett Heath Kaufman (Director) no longer on Schedule A of Kms Financial Services, Inc (listed 2020-06-15, absent 2020-06-26)
    Jun 26, 2020 · Control person left · inference
  • Nina Mckenna (Secretary) appeared on Schedule A of Kms Financial Services, Inc
    Jun 26, 2020 · Control person joined · fact
  • 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)
    May 28, 2020 · Control person left · inference
  • 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)
    May 1, 2020 · Control person left · inference
  • 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)
    May 1, 2020 · Control person left · inference
  • 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)
    Apr 27, 2020 · Control person left · inference
  • 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)
    Apr 27, 2020 · Control person left · inference
  • Mark Thomas Mccloskey (Senior Vice President Of Compliance) appeared on Schedule A of Kms Financial Services, Inc
    Apr 27, 2020 · Control person joined · fact
  • Bernard Andre Breton (Chief Compliance Officer) appeared on Schedule A of Kms Financial Services, Inc
    Mar 30, 2020 · Control person joined · fact
  • Kms Financial Services, Inc reported 384 offices beyond its principal office, up from 371 (2020-03-13 to 2020-03-30)
    Mar 30, 2020 · Office count change · derived
  • Kms Financial Services, Inc reported RAUM $8.2B, up 28% from $6.4B (2020-03-13 to 2020-03-30)
    Mar 30, 2020 · RAUM change · derived
  • Milton Ralph Berlinski (General Partner) appeared on Schedule A of Kms Financial Services, Inc
    Mar 13, 2020 · Control person joined · fact
  • 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)
    Mar 13, 2020 · Control person left · inference
  • Adam Scott Malamed (Director) no longer on Schedule A of Kms Financial Services, Inc (listed 2020-02-19, absent 2020-03-13)
    Mar 13, 2020 · Control person left · inference
  • Sabine Birlenbach (Vice President Of Brokerage Operations) appeared on Schedule A of Kms Financial Services, Inc
    Feb 19, 2020 · Control person joined · fact
  • Doreen Louise Griffith (Chief Technology Officer) appeared on Schedule A of Kms Financial Services, Inc
    Aug 30, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
Former SEC-registered adviserderiveda 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