KCD FINANCIAL, INC.
Adviser information for KCD FINANCIAL, INC. last updated from Form ADV on February 12th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Wisconsin, United States |
Employees
| Total Number of Employees | 50 |
|---|---|
| Investment Advisory/Research | 27 |
| Registered Broker-Dealer Representatives | 47 |
| Registered State Investment Advisers | 30 |
| Licensed Agents of an Insurance Company | 35 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 185 | $2.5M |
| Non-Discretionary | 496 | $121.4M |
| Total | 681 | $123.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 664 | $81.0M |
| HNW Individuals | 17 | $42.9M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $0 |
| Charitable organizations | <5 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesA PORTION OF FEES PAID TO 3RD PARTY ADVISORS |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-110069 |
|---|---|
| SEC ERA File Number | 801-110069 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 127473 |
| Legal Entity Identifier | None |
Principal Office
3061 ALLIED STREETSUITE B
GREEN BAY
WI
United States
Monday - Friday, 8-4:30 CST
Tel: 920-347-3400, Fax: 920-347-3402
Websites
Chief Compliance Officer
DAVID S WILSON
CHIEF COMPLIANCE OFFICER
3061 ALLIED STREET
SUITE B
GREEN BAY
WI
United States
Tel:
920-347-3400
Fax:
920-347-3402
D***@***************M
(Full email address available in API data)
Regulatory Contact
MARK BERNDT
LICENSING COORDINATOR
3061 ALLIED ST
SUITE B
GREEN BAY
WI
United States
Tel:
920-347-3400
Fax:
920-347-3402
M***@***************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BLUMENSCHEIN, JOEL REID | Individual | FREEDOM SECURITIES INC | OWNER/PRESIDENT | 12/2012 | 25-50% |
| PRANGE, HENRY CARL IV | Individual | – | COMMON SHAREHOLDER | 07/2003 | 10-25% |
| FREEDOM SECURITIES, INC. | Domestic Entity | – | COMMON SHAREHOLDER | 04/2010 | > 75% |
| BLUMENSCHEIN, JOEL REID | Individual | – | PRESIDENT | 04/2010 | < 5% |
| WILSON, DAVID SCOTT | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2018 | < 5% |