Kestra Investment Management, Llc.
SEC-registered
Investment Adviser · Mid-sized ($1B–$10B)
CRD 317711
· SEC file 801-122889
· Austin, TX
· www.vimeo.com
☆ Save with Pro
ADV data as of Jun 18, 2026
- Regulatory AUM
- $4.3B
- Discretionary
- $4.3B
- Clients
- 4
- Avg AUM / client
- $1.1B
- Accounts
- 16,262
- Employees
- 17
AUM over time
$110M
$4.3B
Dec 2022
Jun 2026
Annual snapshots from Form ADV filings · as of Jun 18, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Other investment advisers | 4 | $4.3B | 100.0% |
People (13)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Norwood, Robert, Bredt | Evp, General Counsel | Apr 2016 (10y) | Less than 5% | |
| Bennett, Joel, Van | Svp, Chief Financial Officer | Oct 2016 (10y) | Less than 5% | |
| Kara Marie Murphy | Chief Investment Officer, Evp | CFA | Jun 2021 (5y) | Less than 5% |
| Barragan, John, Arthur | Chief Operating Officer | Jul 2024 (2y) | Less than 5% | |
| Dupont, Jean Luc | Chief Information Security Officer | Jul 2024 (2y) | Less than 5% | |
| Stephen Garrett Smith | Vp, Chief Compliance Officer | Jul 2024 (2y) | Less than 5% | |
| Derek Matthew Schug | Registered representative | CFA | Mar 2022 (4y) | |
| Ryan Chang | Registered representative | Jul 2023 (3y) | ||
| Svante Rocabado | Registered representative | Oct 2024 (2y) | ||
| Robert Landon Patterson | Registered representative | Sep 2025 (1y) | ||
| Michael Christopher Humbert | Registered representative | Oct 2025 (1y) | ||
| Alec Randolph | Registered representative | Oct 2025 (1y) | ||
| John Marc Choquette | Registered representative | CFA | Jan 2026 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Kestra Advisor Services Holdings C, Inc. | Owner | Jul 2021 | A | 75% or more |
| Kestra Advisor Services Holdings B, Inc. | Owner | Oct 2014 | B | ≈ 56.25% – 100% via Kestra Advisor Services Holdings C, Inc. |
| Kestra Advisor Services Holdings A, Inc. | Owner | Oct 2014 | B | ≈ 42.19% – 100% via Kestra Advisor Services Holdings B, Inc. |
| Kingfisher Holding B, Inc. | Owner | Jun 2019 | B | ≈ 31.64% – 100% via Kestra Advisor Services Holdings A, Inc. |
| Kingfisher Holding A, Inc. | Owner | Jun 2019 | B | ≈ 23.73% – 100% via Kingfisher Holding B, Inc. |
| Kingfisher Holding, L.P. | Owner | Jun 2019 | B | ≈ 17.8% – 100% via Kingfisher Holding A, Inc. |
| Ohcp Vi Enzo Aggregator, L.P. | Owner | Feb 2023 | B | ≈ 4.45% – 50% via Kingfisher Holding, L.P. |
| Warburg Pincus Financialsector, L.P. | Limited Partner | Jun 2019 | B | ≈ 4.45% – 50% via Kingfisher Holding, L.P. |
| Oak Hill Capital Partners Vi (Onshore), L.P. | Owner | Feb 2023 | B | ≈ 1.11% – 25% via Ohcp Vi Enzo Aggregator, L.P. |
| Oak Hill Capital Partners Vi (Te 892), L.P. | Owner | Feb 2023 | B | ≈ 1.11% – 25% via Ohcp Vi Enzo Aggregator, L.P. |
| Kingfisher Holding Gp, Llc | General Partner | Jun 2019 | B | GP / trustee / elected manager of Kingfisher Holding, L.P. (indirect) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Kestra Advisor Services Holdings B, Inc.: 75% – 100% of Kestra Advisor Services Holdings C, Inc. × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Kestra Advisor Services Holdings A, Inc.: 75% – 100% of Kestra Advisor Services Holdings B, Inc. × 75% – 100% of Kestra Advisor Services Holdings C, Inc. × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Kingfisher Holding B, Inc.: 75% – 100% of Kestra Advisor Services Holdings A, Inc. × 75% – 100% of Kestra Advisor Services Holdings B, Inc. × 75% – 100% of Kestra Advisor Services Holdings C, Inc. × 75% – 100% direct ≈ 31.64% – 100% of the firm
- Kingfisher Holding A, Inc.: 75% – 100% of Kingfisher Holding B, Inc. × 75% – 100% of Kestra Advisor Services Holdings A, Inc. × 75% – 100% of Kestra Advisor Services Holdings B, Inc. × 75% – 100% of Kestra Advisor Services Holdings C, Inc. × 75% – 100% direct ≈ 23.73% – 100% of the firm
- Kingfisher Holding, L.P.: 75% – 100% of Kingfisher Holding A, Inc. × 75% – 100% of Kingfisher Holding B, Inc. × 75% – 100% of Kestra Advisor Services Holdings A, Inc. × 75% – 100% of Kestra Advisor Services Holdings B, Inc. × 75% – 100% of Kestra Advisor Services Holdings C, Inc. × 75% – 100% direct ≈ 17.8% – 100% of the firm
- Ohcp Vi Enzo Aggregator, L.P.: 25% – 50% of Kingfisher Holding, L.P. × 75% – 100% of Kingfisher Holding A, Inc. × 75% – 100% of Kingfisher Holding B, Inc. × 75% – 100% of Kestra Advisor Services Holdings A, Inc. × 75% – 100% of Kestra Advisor Services Holdings B, Inc. × 75% – 100% of Kestra Advisor Services Holdings C, Inc. × 75% – 100% direct ≈ 4.45% – 50% of the firm
- Warburg Pincus Financialsector, L.P.: 25% – 50% of Kingfisher Holding, L.P. × 75% – 100% of Kingfisher Holding A, Inc. × 75% – 100% of Kingfisher Holding B, Inc. × 75% – 100% of Kestra Advisor Services Holdings A, Inc. × 75% – 100% of Kestra Advisor Services Holdings B, Inc. × 75% – 100% of Kestra Advisor Services Holdings C, Inc. × 75% – 100% direct ≈ 4.45% – 50% of the firm
- Oak Hill Capital Partners Vi (Onshore), L.P.: 25% – 50% of Ohcp Vi Enzo Aggregator, L.P. × 25% – 50% of Kingfisher Holding, L.P. × 75% – 100% of Kingfisher Holding A, Inc. × 75% – 100% of Kingfisher Holding B, Inc. × 75% – 100% of Kestra Advisor Services Holdings A, Inc. × 75% – 100% of Kestra Advisor Services Holdings B, Inc. × 75% – 100% of Kestra Advisor Services Holdings C, Inc. × 75% – 100% direct ≈ 1.11% – 25% of the firm
- Oak Hill Capital Partners Vi (Te 892), L.P.: 25% – 50% of Ohcp Vi Enzo Aggregator, L.P. × 25% – 50% of Kingfisher Holding, L.P. × 75% – 100% of Kingfisher Holding A, Inc. × 75% – 100% of Kingfisher Holding B, Inc. × 75% – 100% of Kestra Advisor Services Holdings A, Inc. × 75% – 100% of Kestra Advisor Services Holdings B, Inc. × 75% – 100% of Kestra Advisor Services Holdings C, Inc. × 75% – 100% direct ≈ 1.11% – 25% 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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/18/2026 | 2 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
Services
- • Portfolio management for businesses/institutional clients
- • Other services
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jun 18, 2026.
View current Form ADV (SEC/IAPD) ↗