KEY INVESTMENT SERVICES LLC
Adviser information for KEY INVESTMENT SERVICES LLC last updated from Form ADV on March 30th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Ohio, United States |
Employees
| Total Number of Employees | 1098 |
|---|---|
| Investment Advisory/Research | 350 |
| Registered Broker-Dealer Representatives | 1098 |
| Registered State Investment Advisers | 350 |
| Licensed Agents of an Insurance Company | 950 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 26,437 | $4.2B |
| Total | 26,437 | $4.2B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 25,480 | $3.6B |
| HNW Individuals | 694 | $548.6M |
| 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 | 58 | $5.9M |
| Charitable organizations | 101 | $24.2M |
| 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 | 104 | $25.8M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Broker-dealer |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 4.2B |
| Portfolio Manager | 0 |
| Both for Same | 0 |
Identifiers
| SEC RIA File Number | 801-65060 |
|---|---|
| SEC ERA File Number | 801-65060 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 136300 |
| Legal Entity Identifier | None |
Principal Office
4900 TIEDEMAN ROADOH-01-49-0215
BROOKLYN
OH
United States
Monday - Friday, 8:00AM TO 5:00PM
Tel: (888) 547-2968, Fax: (216) 357-6332
Websites
Chief Compliance Officer
WILLIAM PATRICK HAYDEN
SVP, CHIEF COMPLIANCE OFFICER
4900 TIEDEMAN ROAD
OH-01-49-0215
BROOKLYN
OH
United States
Tel:
216-689-0803
Fax:
216-357-6332
W*************@******M
(Full email address available in API data)
Regulatory Contact
MICHAEL P. MALONEY
VP, COMPLIANCE MANAGER
4900 TIEDEMAN ROAD
OH-01-49-0215
BROOKLYN
OH
United States
Tel:
216-813-6079
Fax:
216-357-6332
M*******@*****************M
(Full email address available in API data)
Industry Affiliates
| KEYBANC CAPITAL MARKETS INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerRegistered municipal advisorSponsor or syndicator of limited partnerships |
| KEYBANK NATIONAL ASSOCIATION | Registered municipal advisorRegistered security-based swap dealerBanking or thrift institutionTrust companyLawyer or law firmSponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles |
| KEYCORP INSURANCE AGENCY USA INC. | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WEICK, PAUL ALFRED II | Individual | – | CHIEF LEGAL OFFICER | 07/2009 | < 5% |
| GULLA, MATTHEW TODD | Individual | – | CHIEF ADMINISTRATIVE OFFICER | 07/2019 | < 5% |
| KEYBANC CAPITAL MARKETS INC. | Domestic Entity | – | SOLE OWNER | 07/2019 | > 75% |
| KEYCORP | Domestic Entity | KEYBANC CAPITAL MARKETS INC | SOLE OWNER | 10/1998 | > 75% |
| KOVACHICK, MARK ALLAN | Individual | – | CHIEF FINANCIAL OFFICER | 07/2019 | < 5% |
| SKARDA, JOSEPH BRIEL | Individual | – | HEAD OF KEY WEALTH MANAGEMENT | 04/2021 | < 5% |
| CALABRESE, GIUSEPPE NMN | Individual | – | CO-CEO/PRESIDENT | 08/2022 | < 5% |
| SCHMIDT, SOLOMON LEE | Individual | – | CO-CEO/PRESIDENT | 08/2022 | < 5% |
| HOTZ, BURTON BRUCE NICHOLAS | Individual | – | CHIEF RISK OFFICER | 08/2022 | < 5% |
| JANOFSKY, PAULA MARIE | Individual | – | CHIEF OPERATIONS OFFICER | 01/2023 | < 5% |
| HAYDEN, WILLIAM PATRICK | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2023 | < 5% |