Hedge Fund Database

KCS WEALTH ADVISORY

KCS WEALTH ADVISORY, LLC Legal Name

Adviser information for KCS WEALTH ADVISORY last updated from Form ADV on April 13th, 2023. 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 California, United States

Employees

Total Number of Employees 8
Investment Advisory/Research 5
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 7
Licensed Agents of an Insurance Company 3
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 954 $349.7M
Non-Discretionary 0 $0
Total 954 $349.7M

Clients

Type Number RAUM
Individuals 218 $65.2M
HNW Individuals 128 $265.5M
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 17 $19.0M
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 6
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 251-500

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting services
Compensation % of AUMHourly chargesFixed fees

Identifiers

SEC RIA File Number 801-80615
SEC ERA File Number 801-80615
SEC CIK Numbers 1697719
SEC CRD Numbers 169846
Legal Entity Identifier None

Principal Office

10960 WILSHIRE BLVD.
SUITE 405
LOS ANGELES
CA
United States
Monday - Friday, 8:30 AM - 5:30 PM
Tel: 310-734-4740, Fax: (866) 914-4399

Websites

www.kcswealth.com www.linkedin.com/company/18595024/ www.instagram.com/kcswealth/ www.facebook.com/kcswealth

Chief Compliance Officer

KEN WALTZER
10960 WILSHIRE BLVD.
SUITE 405
LOS ANGELES
CA
United States
Tel: 310-734-4740
Fax: (866) 914-4399
(Full email address available in API data)

Regulatory Contact

GAYLE FUHR
DIRECTOR OF COMPLIANCE AND CLIENT SERVICES
10960 WILSHIRE BLVD.
SUITE 405
LOS ANGELES
CA
United States
Tel: 310-734-4740
Fax: (866) 914-4399
(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
WALTZER, KENNETH, BRIAN Individual – CHIEF COMPLIANCE OFFICER 11/2013 < 5%
WALTZER-MASON FAMILY TRUST U/A/D 12/10/2007 Domestic Entity KENFIELD CAPITAL STRATEGIES SHAREHOLDER 11/2013 > 75%
LGA FINANCIAL, INC. Domestic Entity – MANAGING MEMBER 06/2014 25-50%
KENFIELD CAPITAL STRATEGIES Domestic Entity – MANAGING MEMBER 11/2013 50-75%
WALTZER, KENNETH, BRIAN Individual WALTZER-MASON FAMILY TRUST U/A/D 12/10/2007 TRUSTEE 11/2013
WALTZER, JENNIFER, ANN Individual WALTZER-MASON FAMILY TRUST U/A/D 12/10/2007 TRUSTEE 11/2013
GILMAN, LAURA, ANNE Individual LGA FINANCIAL, INC. SHAREHOLDER 06/2014 > 75%

No. Employees, Historic

10502019202020212022202320247 on 4/25/20197 on 5/7/20197 on 7/31/20199 on 2/21/20209 on 6/9/20209 on 6/17/20209 on 3/30/20219 on 11/5/20218 on 2/24/20228 on 10/11/20228 on 11/4/20228 on 3/14/20238 on 4/13/2023

RAUM, Historic

400M200M0201920202021202220232024169774868 on 4/25/2019169774868 on 5/7/2019169774868 on 7/31/2019240719789 on 2/21/2020240719789 on 6/9/2020240719789 on 6/17/2020272210173 on 3/30/2021272210173 on 11/5/2021386827079 on 2/24/2022386827079 on 10/11/2022386827079 on 11/4/2022349656033 on 3/14/2023349656033 on 4/13/2023

No. Clients, Historic

4002000201920202021202220232024237 on 4/25/2019237 on 5/7/2019237 on 7/31/2019278 on 2/21/2020278 on 6/9/2020278 on 6/17/2020288 on 3/30/2021288 on 11/5/2021338 on 2/24/2022338 on 10/11/2022338 on 11/4/2022363 on 3/14/2023363 on 4/13/2023

Holdings

From latest 13F, filed November 2nd, 2023 for period ending September 30th, 2023
Name Class Value $USD # Shares Private Fund
ABBVIE INC COM 220K 1K –
ADOBE INC COM 374K 733 –
AERCAP HOLDINGS NV SHS 1M 18K –
ALBERTSONS COS INC COMMON STOCK 1M 54K –
ALIBABA GROUP HLDG LTD SPONSORED ADS 1M 15K –
ALLY FINL INC COM 1M 39K –
ALPHABET INC CAP STK CL A 404K 3K –
ALPHABET INC CAP STK CL C 4M 30K –
AMAZON COM INC COM 2M 18K –
AMGEN INC COM 273K 1K –
AON PLC SHS CL A 929K 3K –
APARTMENT INVT & MGMT CO CL A 2M 317K –
APPLE INC COM 29M 170K –
APPLIED MATLS INC COM 3M 24K –
AVALONBAY CMNTYS INC COM 320K 2K –
BANCO BRADESCO S A SPONSORED ADR 104K 39K –
BANK NEW YORK MELLON CORP COM 2M 39K –
BECTON DICKINSON & CO COM 2M 7K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 4M 12K –
BLACKROCK INC COM 1M 2K –
BRISTOL-MYERS SQUIBB CO COM 1M 24K –
CBL & ASSOC PPTYS INC COMMON STOCK 1M 49K –
CENOVUS ENERGY INC *W EXP 01/01/202 3M 185K –
CENOVUS ENERGY INC COM 334K 16K –
COMCAST CORP NEW CL A 3M 70K –
COSTCO WHSL CORP NEW COM 3M 5K –
CSX CORP COM 354K 12K –
DANAHER CORPORATION COM 227K 916 –
DBX ETF TR XTRACK MUN INFRA 255K 11K –
DIAGEO PLC SPON ADR NEW 733K 5K –
DISNEY WALT CO COM 329K 4K –
EDISON INTL COM 585K 9K –
EL PASO ENERGY CAP TR I PFD CV TR SEC 28 3M 71K –
ELEVANCE HEALTH INC COM 3M 7K –
EMBRAER S.A. SPONSORED ADS 798K 58K –
EXXON MOBIL CORP COM 236K 2K –
FEDEX CORP COM 502K 2K –
FIDELITY COVINGTON TRUST MSCI INFO TECH I 333K 3K –
FIDELITY COVINGTON TRUST QLTY FCTOR ETF 2M 31K –
FIRST TR EXCH TRADED FD III INSTL PFD SECS 188K 11K –
FIRST TR EXCH TRADED FD III MUNI HI INCM ETF 272K 6K –
FIRST TR EXCHNG TRADED FD VI FT CBOE DEEP BFR 511K 15K –
FISERV INC COM 496K 4K –
FRANKLIN TEMPLETON ETF TR FTSE JAPAN ETF 654K 25K –
GARRETT MOTION INC COM 979K 124K –
GENERAL MTRS CO COM 2M 49K –
GOLDMAN SACHS ETF TR ACES ULTRA SHR 8M 166K –
GSK PLC SPONSORED ADR 775K 21K –
HOME DEPOT INC COM 456K 2K –
HP INC COM 840K 33K –
HUMANA INC COM 278K 571 –
IMPERIAL OIL LTD COM NEW 333K 5K –
INFOSYS LTD SPONSORED ADR 933K 55K –
INVESCO HIG INCM 2023 TARG T COM 702K 103K –
ISHARES INC CORE MSCI EMKT 567K 12K –
ISHARES INC JP MRG EM CRP BD 725K 17K –
ISHARES INC MSCI MEXICO ETF 265K 5K –
ISHARES TR CONV BD ETF 225K 3K –
ISHARES TR CORE MSCI EAFE 2M 29K –
ISHARES TR CORE MSCI EURO 2M 38K –
ISHARES TR CORE S&P500 ETF 6M 13K –
ISHARES TR GLOB HLTHCRE ETF 251K 3K –
ISHARES TR GLOBAL TECH ETF 395K 7K –
ISHARES TR IBONDS 27 TRM TS 2M 100K –
ISHARES TR IBONDS DEC23 ETF 848K 33K –
ISHARES TR INVESTMENT GRADE 356K 8K –
ISHARES TR JPMORGAN USD EMG 2M 26K –
ISHARES TR MBS ETF 5M 57K –
ISHARES TR SELECT DIVID ETF 204K 2K –
ISHARES TR TRS FLT RT BD 700K 14K –
J P MORGAN EXCHANGE TRADED F BETABUILDERS CDA 708K 12K –
J P MORGAN EXCHANGE TRADED F BETABUILDERS USD 464K 11K –
J P MORGAN EXCHANGE TRADED F DIV RTN EM EQT 622K 12K –
J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM 298K 6K –
J P MORGAN EXCHANGE TRADED F ULTRA SHRT INC 321K 6K –
JANUS DETROIT STR TR B-BBB CLO ETF 2M 40K –
JANUS DETROIT STR TR HENDRSON AAA CL 13M 250K –
JD.COM INC SPON ADR CL A 493K 17K –
JOHNSON & JOHNSON COM 269K 2K –
JPMORGAN CHASE & CO COM 3M 21K –
KB FINL GROUP INC SPONSORED ADR 738K 18K –
KLA CORP COM NEW 2M 4K –
KONINKLIJKE PHILIPS N V NY REGIS SHS NEW 1M 60K –
KROGER CO COM 3M 66K –
LXP INDUSTRIAL TRUST PFD CONV SER C 660K 15K –
M/I HOMES INC COM 391K 5K –
MARRIOTT INTL INC NEW CL A 1M 6K –
MARSH & MCLENNAN COS INC COM 931K 5K –
MCKESSON CORP COM 2M 4K –
MERCADOLIBRE INC COM 3M 2K –
MERCK & CO INC COM 1M 13K –
META PLATFORMS INC CL A 5M 16K –
MICROSOFT CORP COM 5M 14K –
MORGAN STANLEY COM NEW 3M 36K –
NETFLIX INC COM 238K 630 –
NEW YORK CMNTY CAP TR V UNIT 05/07/2051 649K 18K –
NEWS CORP NEW CL B 3M 133K –
NOVO-NORDISK A S ADR 4M 41K –
NVIDIA CORPORATION COM 967K 2K –
OPPENHEIMER HLDGS INC CL A NON VTG 1M 31K –
PACCAR INC COM 3M 36K –
PACKAGING CORP AMER COM 2M 16K –
PARAMOUNT GLOBAL 5.75% CONV PFD A 338K 19K –
PAYPAL HLDGS INC COM 1M 21K –
PEPSICO INC COM 2M 12K –
PETROLEO BRASILEIRO SA PETRO SP ADR NON VTG 176K 13K –
PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 742K 49K –
PFIZER INC COM 760K 23K –
RIO TINTO PLC SPONSORED ADR 1M 19K –
RPT REALTY 7.25 PFD D CONV 2M 34K –
RUSH ENTERPRISES INC CL A 1M 33K –
SAP SE SPON ADR 1M 9K –
SCHWAB CHARLES CORP COM 413K 8K –
SOLAREDGE TECHNOLOGIES INC COM 270K 2K –
SONY GROUP CORP SPONSORED ADR 731K 9K –
SPDR S&P 500 ETF TR TR UNIT 385K 900 –
SPDR SER TR PORTFOLIO SH TSR 302K 10K –
SPECIAL OPPORTUNITIES FD INC 2.75% CNV PFD C 561K 25K –
STIFEL FINL CORP COM 1M 19K –
SUNCOR ENERGY INC NEW COM 2M 67K –
SYSCO CORP COM 324K 5K –
TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 2M 28K –
TORTOISE ENERGY INFRA CORP COM 949K 33K –
TORTOISE MIDSTRM ENERGY FD I COM 340K 10K –
UBS GROUP AG SHS 3M 103K –
UNITEDHEALTH GROUP INC COM 2M 4K –
VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 504K 9K –
VANGUARD SCOTTSDALE FDS INT-TERM CORP 4M 54K –
VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 12M 203K –
VERIZON COMMUNICATIONS INC COM 3M 85K –
VISA INC COM CL A 3M 13K –
VISTRA CORP COM 1M 40K –
WISDOMTREE TR HEDGED HI YLD BD 1M 52K –