Kingswood Wealth Advisors, Llc
SEC-registered
Wealth Manager · Mid-sized ($1B–$10B)
CRD 288792
· SEC file 801-110755
· San Diego, CA
· www.kingswoodus.com
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ADV data as of Jul 15, 2026
- Regulatory AUM
- $3.8B
- Discretionary
- $3.5B
- Clients
- 11,425
- Avg AUM / client
- $333K
- Accounts
- 12,273
- Employees
- 88
AUM over time
$99.2M
$3.8B
Dec 2017
Jul 2026
Annual snapshots from Form ADV filings · as of Jul 15, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 8,985 | $1.6B | 41.4% |
| High net worth individuals | 2,274 | $2.1B | 55.4% |
| Pension and profit sharing plans | 57 | $21.6M | 0.57% |
| Charitable organizations | 2 | $7.1M | 0.19% |
| Insurance companies | 2 | $9.1M | 0.24% |
| Corporations and other businesses | 105 | $82.5M | 2.17% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Bradley Arant Boult Cummings Llp Retirement Plan Bradley Arant Boult Cummings Llp | 2024 | |
| Baker Donelson Bearman Caldwell & Berkowitz Retirement Savings Plan Baker Donelson Bearman Caldwell & Berkowitz P.C. | 2024 |
People (122)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Mohamed A Alsoraimi | Chief Compliance Officer | Jan 2018 (9y) | Less than 5% | |
| Golden, Jaime, Galione | President Business Development And Acquisitions | Jan 2020 (7y) | Less than 5% | |
| Ashley Jo Webb | Director Of Operations | Jan 2021 (6y) | Less than 5% | |
| Michael Haskel Nessim | Ceo | Apr 2021 (5y) | Less than 5% | |
| Nicole Marie English | Operations Principal | May 2021 (5y) | Less than 5% | |
| Rayevskiy, Valeriy, P | Coo | Jan 2022 (5y) | Less than 5% | |
| Wilder, Jeremy, Mathew | Chief Legal Officer | Jan 2022 (5y) | Less than 5% | |
| Steven George Collins | Registered representative | CFP | Aug 2017 (9y) | |
| Douglas E Dort | Registered representative | Oct 2018 (8y) | ||
| Norman Lee Anderson | Registered representative | Chartered Financial Consultant | Nov 2018 (8y) | |
| Bruce George Mclaren | Registered representative | Nov 2018 (8y) | ||
| Judson Harris Gee | Registered representative | Feb 2019 (7y) | ||
| Peter Frederic Steger | Registered representative | Chartered Financial Consultant | Mar 2019 (7y) | |
| Richard S Siminou | Registered representative | Jun 2021 (5y) | ||
| Robert Joseph Ryder | Registered representative | Jul 2021 (5y) | ||
| Tyler Thomas Bashaw | Registered representative | Jul 2021 (5y) | ||
| Danielle Marie Mariano | Registered representative | Aug 2021 (5y) | ||
| Robert Leonard Defreze | Registered representative | Aug 2021 (5y) | ||
| Namhee Park | Registered representative | Oct 2021 (5y) | ||
| Paul Sangyop Lee | Registered representative | Oct 2021 (5y) | ||
| Donald Irving Kuhs | Registered representative | Dec 2021 (5y) | ||
| Cynthia A Pulver | Registered representative | Dec 2021 (5y) | ||
| Anthony Albert Nardi | Registered representative | CFP | Jan 2022 (5y) | |
| Barry Waxler | Registered representative | Jan 2022 (5y) | ||
| Dominick Vincent Pullano | Registered representative | Jan 2022 (5y) | ||
| Kalyan Kavili | Registered representative | Jan 2022 (5y) | ||
| John Loeffler | Registered representative | Jan 2022 (5y) | ||
| Logan Brooks Lowrey | Registered representative | Jan 2022 (5y) | ||
| Michael Muratore | Registered representative | Jan 2022 (5y) | ||
| Thomas Edwards Grimm | Registered representative | Jan 2022 (5y) | ||
| Christopher Thomas Doyle | Registered representative | Jan 2022 (5y) | ||
| Bradley Seth Mayer | Registered representative | Mar 2022 (4y) | ||
| Stephen M Digennaro | Registered representative | Mar 2022 (4y) | ||
| Nelson E Dort | Registered representative | Mar 2022 (4y) | ||
| Daniel Fulvio Spagnolo | Registered representative | Mar 2022 (4y) | ||
| William Gene Bianchi | Registered representative | May 2022 (4y) | ||
| Renee Grace Faison | Registered representative | Jun 2022 (4y) | ||
| Conrad Kenneth Branson | Registered representative | Jun 2022 (4y) | ||
| Michael Wayne Nakanishi | Registered representative | Aug 2022 (4y) | ||
| Niklaus W Pleisch | Registered representative | Sep 2022 (4y) | ||
| John Norman Bliss | Registered representative | Sep 2022 (4y) | ||
| Svitlana S Kyrukhina | Registered representative | Sep 2022 (4y) | ||
| Michael Tsiaklides | Registered representative | CFP | Sep 2022 (4y) | |
| Dean T Antonopoulos | Registered representative | Oct 2022 (4y) | ||
| Donald Patrick Skinner | Registered representative | Oct 2022 (4y) | ||
| Mark Edward Peetz | Registered representative | Oct 2022 (4y) | ||
| Han Gu | Registered representative | CFP | Nov 2022 (4y) | |
| Julie Annette Broady | Registered representative | Nov 2022 (4y) | ||
| Kyle Rodgers | Registered representative | Nov 2022 (4y) | ||
| Richard S Rodgers | Registered representative | Nov 2022 (4y) | ||
| Elizabeth Christina Neuman | Registered representative | Nov 2022 (4y) | ||
| Matthew Thomas Nadeau | Registered representative | CFP | Jan 2023 (4y) | |
| Michelle L Cavallero | Registered representative | Jan 2023 (4y) | ||
| Joseph Wainer | Registered representative | Mar 2023 (3y) | ||
| David A Morris | Registered representative | May 2023 (3y) | ||
| Eduard Kazatsky | Registered representative | May 2023 (3y) | ||
| Blake Ryan Fowler | Registered representative | Jun 2023 (3y) | ||
| Frank Florez Hsin | Registered representative | Jul 2023 (3y) | ||
| Gregory John Richards | Registered representative | Aug 2023 (3y) | ||
| Lacey E Buteyn | Registered representative | Jan 2024 (3y) | ||
| Douglas Blake Solinsky | Registered representative | Jan 2024 (3y) | ||
| Bruce Ira Greenberg | Registered representative | Jan 2024 (3y) | ||
| Paul Lawrence Sterzinger | Registered representative | CFP | Jan 2024 (3y) | |
| Brian Michael Dixon | Registered representative | CFP Chartered Financial Consultant | Jan 2024 (3y) | |
| Eric Alexander Cardenas | Registered representative | Feb 2024 (2y) | ||
| Jacob Jeffery Pulver | Registered representative | Mar 2024 (2y) | ||
| Christopher S Brown | Registered representative | Apr 2024 (2y) | ||
| Andrew Schoenfeld | Registered representative | Apr 2024 (2y) | ||
| Gabriel Talley | Registered representative | CFP | May 2024 (2y) | |
| Travis Michael King | Registered representative | May 2024 (2y) | ||
| Dayna Lynn Birkley | Registered representative | Jun 2024 (2y) | ||
| Frank John Pasquale | Registered representative | Jun 2024 (2y) | ||
| Keith Earl Spelmon | Registered representative | Jul 2024 (2y) | ||
| Seth Waltman | Registered representative | Jul 2024 (2y) | ||
| Gregory Lewis Stephens | Registered representative | Jul 2024 (2y) | ||
| Jason Parker | Registered representative | CFP | Jul 2024 (2y) | |
| Christopher Allan Cooley | Registered representative | CFP | Jul 2024 (2y) | |
| James Anthony Parrish | Registered representative | Jul 2024 (2y) | ||
| Todd Joseph Meucci | Registered representative | Jul 2024 (2y) | ||
| Jeannan Castleberry Brewer | Registered representative | Jul 2024 (2y) | ||
| James Andrew Buckner | Registered representative | Aug 2024 (2y) | ||
| John Currier Goodson | Registered representative | Aug 2024 (2y) | ||
| Michael Hakerem | Registered representative | CFA | Sep 2024 (2y) | |
| Christopher Paige Scarborough | Registered representative | Sep 2024 (2y) | ||
| Garland Allen Risner | Registered representative | Oct 2024 (2y) | ||
| Richard Cavanagh Mc Elroy | Registered representative | Oct 2024 (2y) | ||
| Anna Elizabeth Schoor | Registered representative | Dec 2024 (2y) | ||
| Stacey Lynn Lavender | Registered representative | Feb 2025 (1y) | ||
| Seth Anthony Stewart | Registered representative | Feb 2025 (1y) | ||
| Jeffrey Layne Johnson | Registered representative | Mar 2025 (1y) | ||
| John Matsek | Registered representative | Mar 2025 (1y) | ||
| Ricardo Eduardo Harmsen | Registered representative | Mar 2025 (1y) | ||
| H Craig Rappaport | Registered representative | Mar 2025 (1y) | ||
| Ramiro Herrera | Registered representative | Apr 2025 (1y) | ||
| Alec Lane Goldberg | Registered representative | May 2025 (1y) | ||
| John Edward Stanojev | Registered representative | May 2025 (1y) | ||
| Gary G Garcia | Registered representative | CFP | Jun 2025 (1y) | |
| Christopher Haddad | Registered representative | Jun 2025 (1y) | ||
| Kyle Douglas Foster | Registered representative | Jun 2025 (1y) | ||
| Derek Brian Herzer | Registered representative | Jun 2025 (1y) | ||
| Alexander Jones | Registered representative | CFP Chartered Financial Consultant | Jun 2025 (1y) | |
| Adnan Hamid Hussain | Registered representative | Jul 2025 (1y) | ||
| Stacey Don Price | Registered representative | Sep 2025 (1y) | ||
| James Patrick Greek | Registered representative | Sep 2025 (1y) | ||
| Jason Aupperle Russell | Registered representative | Sep 2025 (1y) | ||
| Jeffrey Allen Falke | Registered representative | Oct 2025 (1y) | ||
| John Francis Dolan | Registered representative | Oct 2025 (1y) | ||
| Mark Clayton Christenson | Registered representative | Oct 2025 (1y) | ||
| Richard Hardy Dawkins | Registered representative | Oct 2025 (1y) | ||
| Brian Braker | Registered representative | Nov 2025 (1y) | ||
| Schuyler E Grey | Registered representative | Nov 2025 (1y) | ||
| Vincent Stephen Lucchesi | Registered representative | Nov 2025 (1y) | ||
| Kim Desio | Registered representative | Nov 2025 (1y) | ||
| Matthew Land | Registered representative | Jan 2026 (1y) | ||
| Christian Syng Gi Park | Registered representative | Jan 2026 (1y) | ||
| Jefferson Trent Olney | Registered representative | Jan 2026 (1y) | ||
| Grant Wheeler Goldberg | Registered representative | Jan 2026 (1y) | ||
| Scott Elliott Poore | Registered representative | Mar 2026 (0y) | ||
| Chad Evan Polin | Registered representative | Apr 2026 (0y) | ||
| William Stuart Finnie | Registered representative | May 2026 (0y) | ||
| Frank Edward Zaccardo | Registered representative | May 2026 (0y) | ||
| Michelle L Vartanian | Registered representative | Jun 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Kingswood Us, Llc | Sole Member | Nov 2020 | A | 75% or more |
| Kingswood Holdings Ltd | Shareholder | Jun 2009 | B | ≈ 21.09% – 75% via Kw Wealth Group Ltd |
| Kw Wealth Group Ltd | Shareholder | Feb 2019 | B | ≈ 28.13% – 75% via Kingswood Us Holdings, Inc. |
| Kingswood Us Holdings, Inc. | Member | Nov 2020 | B | ≈ 37.5% – 75% via Kingswood Us, Llc |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Kingswood Holdings Ltd: 75% – 100% of Kw Wealth Group Ltd × 75% – 100% of Kingswood Us Holdings, Inc. × 50% – 75% of Kingswood Us, Llc × 75% – 100% direct ≈ 21.09% – 75% of the firm
- Kw Wealth Group Ltd: 75% – 100% of Kingswood Us Holdings, Inc. × 50% – 75% of Kingswood Us, Llc × 75% – 100% direct ≈ 28.13% – 75% of the firm
- Kingswood Us Holdings, Inc.: 50% – 75% of Kingswood Us, Llc × 75% – 100% direct ≈ 37.5% – 75% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (2)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Bradley Arant Boult Cummings Llp Retirement Plan | Bradley Arant Boult Cummings Llp | 1,172 | $694M | 01/01/2024 |
| Baker Donelson Bearman Caldwell & Berkowitz Retirement Savings Plan | Baker Donelson Bearman Caldwell & Berkowitz P.C. | 1,160 | $628M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/15/2026 | 1.41 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $1.9B (51% of AUM) Jul 2026
- Raymond James $1.5B (40% of AUM) Jul 2026
- RBC $298M (8% of AUM) Jul 2026
- Assetmark Brokerage, Llc $18.5M (2% of AUM) Feb 2023
- National Financial Services (Fidelity) $525K (0% of AUM) Feb 2023
- Fpi/E Trade $52.0K (0% of AUM) Feb 2023
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 15, 2026.
View current Form ADV (SEC/IAPD) ↗