KESTRA INSTITUTIONAL SERVICES, LLC
Adviser information for KESTRA INSTITUTIONAL SERVICES, LLC last updated from Form ADV on March 28th, 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 | Texas, United States |
Employees
| Total Number of Employees | 10 |
|---|---|
| Investment Advisory/Research | 10 |
| Registered Broker-Dealer Representatives | 10 |
| Registered State Investment Advisers | 10 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| 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 | 0 | $0 |
| Charitable organizations | 0 | $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 | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)INVESTMENT ADVICE TO OTHER REGISTERED INVESTMENT ADVISERS |
|---|---|
| Compensation | % of AUMFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 0 |
Identifiers
| SEC RIA File Number | 801-70743 |
|---|---|
| SEC ERA File Number | 801-70743 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 151790 |
| Legal Entity Identifier | None |
Principal Office
5707 SOUTHWEST PARKWAYBLDG 2, SUITE 400
AUSTIN
TX
United States
Monday - Friday, 8 A.M. TO 5 P.M. CST
Tel: 844-553-7872, Fax: None
Chief Compliance Officer
MICHAEL PEDLOW
EXECUTIVE VICE PRESIDENT
5707 SOUTHWEST PARKWAY
BLDG 2, SUITE 400
AUSTIN
TX
United States
Tel:
737-443-2800
Fax:
512-697-5405
M**********@******************M
(Full email address available in API data)
Regulatory Contact
STEVE SMITH
VICE PRESIDENT
5707 SOUTHWEST PARKWAY
BLDG 2, SUITE 400
AUSTIN
TX
United States
Tel:
737-443-2048
S************@******************M
(Full email address available in API data)
Industry Affiliates
| AMERICAN FINANCIAL SOLUTIONS, INC. | Insurance company or agency |
| ARDEN TRUST COMPANY | Trust company |
| BEACON FINANCIAL GROUP | Other investment adviser, including financial plannersInsurance company or agency |
| BEDELL FRAZIER INVESTMENT COUNSELLING, LLC. | Other investment adviser, including financial planners |
| BERNARD R. WOLFE & ASSOCIATES, INC. | Insurance company or agency |
| CAPITAL PLANNING ADVISORS LLC | Other investment adviser, including financial planners |
| COMPASS CAPITAL MANAGEMENT, LLC | Other investment adviser, including financial plannersInsurance company or agency |
| HEDEKER WEALTH LLC | Other investment adviser, including financial planners |
| HICKORY ASSET MANAGEMENT, INC. | Other investment adviser, including financial planners |
| HUGHES FINANCIAL SERVICES, LLC | Other investment adviser, including financial planners |
| JOULE FINANCIAL | Other investment adviser, including financial planners |
| KESTRA ADVISORY SERVICES, LLC | Other investment adviser, including financial planners |
| KESTRA INSURANCE SERVICES, LLC | Insurance company or agency |
| KESTRA INVESTMENT MANAGEMENT, LLC. | Other investment adviser, including financial planners |
| KESTRA INVESTMENT SERVICES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerInsurance company or agency |
| KESTRA PRIVATE WEALTH SERVICES, LLC | Other investment adviser, including financial planners |
| OKLAHOMA FINANCIAL CENTER, INC. | Insurance company or agency |
| PROVISE MANAGEMENT GROUP, LLC | Other investment adviser, including financial plannersInsurance company or agency |
| RITTER DANIHER FINANCIAL ADVISORY LLC | Other investment adviser, including financial planners |
| VECTOR INSURANCE SERVICES, LLC | Insurance company or agency |
| VECTOR WEALTH MANAGEMENT | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| KESTRA ADVISOR SERVICES HOLDINGS C, INC. | Domestic Entity | KESTRA FINANCIAL, INC. | OWNER | 10/2014 | > 75% |
| YIN, YIN | Individual | – | VICE PRESIDENT, CONTROLLER | 06/2009 | < 5% |
| PEDLOW, MICHAEL, ROSS | Individual | – | CHIEF COMPLIANCE OFFICER, EVP | 06/2015 | < 5% |
| KESTRA FINANCIAL, INC. | Domestic Entity | – | MANAGING MEMBER | 10/2014 | > 75% |
| KESTRA ADVISOR SERVICES HOLDINGS B, INC. | Domestic Entity | KESTRA ADVISOR SERVICES HOLDINGS C, INC. | OWNER | 10/2014 | > 75% |
| KESTRA ADVISOR SERVICES HOLDINGS A, INC. | Domestic Entity | KESTRA ADVISOR SERVICES HOLDINGS B, INC. | OWNER | 10/2014 | > 75% |
| NORWOOD, ROBERT, BREDT | Individual | – | EVP, GENERAL COUNSEL | 04/2016 | < 5% |
| BENNETT, JOEL, VAN | Individual | – | SVP, CHIEF FINANCIAL OFFICER | 10/2016 | < 5% |
| CHESTER, KRISTEN, LAWLESS | Individual | – | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 02/2019 | < 5% |
| KINGFISHER HOLDING, L.P. | Domestic Entity | KINGFISHER HOLDING A, INC. | OWNER | 06/2019 | > 75% |
| KINGFISHER HOLDING B, INC. | Domestic Entity | KESTRA ADVISOR SERVICES HOLDINGS A, INC. | OWNER | 06/2019 | > 75% |
| KINGFISHER HOLDING A, INC. | Domestic Entity | KINGFISHER HOLDING B, INC. | OWNER | 06/2019 | > 75% |
| WARBURG PINCUS FINANCIAL SECTOR, L.P. | Domestic Entity | KINGFISHER HOLDING, L.P. | LIMITED PARTNER | 06/2019 | 25-50% |
| KINGFISHER HOLDING GP, LLC | Domestic Entity | KINGFISHER HOLDING, L.P. | GENERAL PARTNER | 06/2019 | |
| LANGLOIS, STEPHEN, RUSSELL | Individual | – | PRESIDENT | 03/2021 | < 5% |
| AMORE, JOHN, VINCENT | Individual | – | EVP, WEALTH MANAGEMENT | 10/2019 | < 5% |
| OHCP VI ENZO AGGREGATOR, L.P. | Domestic Entity | KINGFISHER HOLDING, L.P. | OWNER | 02/2023 | 25-50% |
| OAK HILL CAPITAL PARTNERS VI (ONSHORE), L.P. | Domestic Entity | OHCP VI ENZO AGGREGATOR, L.P. | OWNER | 02/2023 | 25-50% |
| OAK HILL CAPITAL PARTNERS VI (TE 892), L.P. | Domestic Entity | OHCP VI ENZO AGGREGATOR, L.P. | OWNER | 02/2023 | 25-50% |
| Dupont, Jean-Luc | Individual | – | VP, CHIEF INFORMATION SECURITY OFFICE | 07/2023 | < 5% |