KINGSWOOD WEALTH ADVISORS, LLC

RIASEC RegisteredEst. 2017
Total AUM
$3.8B
Discretionary
$3.5B
92% of AUM
Avg account
$310K
Accounts
12,273
Employees
88
Advisory reps
121

Firm details

Headquarters
SAN DIEGO, California
CRD number
288792
Registered since
July 3, 2017
Website
www.kingswoodus.com
Custodians
CHARLES SCHWAB & CO., INC., RAYMOND JAMES & ASSOCIATES, INC., RBC CAPITAL MARKETS, LLC
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees
Client types
  • HNWI55.39%
  • Individuals41.45%
  • Corporations / Businesses2.17%
  • Pension & Profit Sharing Plans0.57%
  • Insurance Companies0.24%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other Advisers

Firm profile

FINTRX

Overview

Kingswood Wealth Advisors, LLC is an independent registered investment adviser formed in 2017 that serves both individual/family and institutional clients. The firm acts as a capital allocator and provides financial planning, discretionary portfolio management for individuals, small businesses and institutions, pension consulting, and the selection of third‑party advisers. Its fee arrangements include percentage of AUM as well as hourly and fixed fees. Industry affiliations listed in the filing include broker‑dealer and insurance relationships, and the firm does not position itself as an active ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

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Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Public Funds/Mutual Funds 54%, Exchange Traded Equities 28%, Cash & Cash Equivalents 8%, State & Local Bonds 4%, US Government Bonds 2%, Investment Grade Corp Bonds 2%, Non-Exchange Traded Equities 1%, Non-Investment Grade Corp Bonds 1%, Derivatives 1%, Private Funds 1%54%
  • Public Funds/Mutual Funds54%
  • Exchange Traded Equities28%
  • Cash & Cash Equivalents8%
  • State & Local Bonds4%
  • US Government Bonds2%

Owners & executives

3 of 7

  • Kyle Rodgers

    Chief Executive OfficerCRD 6811728

  • MOHAMED ALSORAIMI

    Chief Compliance OfficerCRD 5319490

  • STACEY LAVENDER

    Chief Compliance OfficerCRD 4365033

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Contacts

3 of 114

  • JOHN BLISS

    Financial AdvisorCRD 4463782

  • NIKLAUS PLEISCH

    Wealth AdvisorCRD 5996673

  • SCHUYLER GREY

    Financial AdvisorCRD 1131933

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Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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ETF holdings

1 of 560

Active vs passive

$1.5B in ETFs

Passive

75%

$1.1B

Active

16%

$367M

ETFProviderStyleCategoryValueShares% of portfolio
SPDR S&P 500 ETF TRUST (SPY)State StreetPassiveLarge Blend$53.9M82,9563.68%
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Location

Primary office

SAN DIEGO, CA

SAN DIEGO

Location

SAN DIEGO, CA

Headquartered in SAN DIEGO, CA, in the West of the United States.

Region
West
County
SAN DIEGO
Address
11440 W Bernardo Ct
Time zone
PT (UTC-8)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth