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KESTRA PRIVATE WEALTH SERVICES, LLC

dba KESTRA PRIVATE WEALTH SERVICES, LLC · CRD 155193 · Registered Investment Adviser

Criminal disclosureRegulatory disclosure

KESTRA PRIVATE WEALTH SERVICES, LLC is a Registered Investment Adviser headquartered in AUSTIN, TX. The firm reports $13,452,224,033 in regulatory assets under management across 33,333 accounts. It reports 9 Form ADV Item 11 disciplinary disclosure(s) (Criminal, Regulatory).

Regulatory assets under management

Discretionary$13,433,949,529
Non-discretionary$18,274,504
Total RAUM$13,452,224,033
Accounts33,333

Disciplinary history (Form ADV Item 11)

This adviser answered "yes" to 9 Item 11 disclosure question(s):

CategoryReported
Criminal (11A / 11B)Yes
Regulatory (11C–11F)Yes
Civil / Other (11G / 11H)—

Item 11 captures firm-level Y/N disclosures only. For the narrative Disciplinary Reporting Pages, see the full Form ADV PDF on SEC IAPD.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 155193. adviserinfo.sec.gov/firm/summary/155193.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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