Broker-dealer firm · Green Bay, WI
KCD Financial, Inc.
SEC-registered investment adviser · CRD 127473 · SEC 801-110069
At a glance
KCD Financial, Inc. is an SEC-registered investment adviser based in Green Bay, Wisconsin, with $202 million in regulatory assets under management as of its Form ADV filed August 11, 2026. Its largest client group by assets is individuals, and it reports 1,257 individual clients. By Form ADV it is a broker-dealer firm, ranked 282nd of 391 broker-dealer firms and 12,179th of 17,210 SEC-registered advisers by assets.
Main office 920-347-3400kcdfinancial.comAs filed on Form ADV
- Regulatory AUM
- $202M
- Rank among broker-dealer firms
- #282 of 391
- Rank among all SEC RIAs
- #12,179 of 17,210
- Rank in Wisconsin
- #134 of 195
- Individual clients
- 1,257
- High-net-worth clients
- 22
- Accounts
- 1,259
- Discretionary
- 100% of AUM
- Employees
- 29
- Advisory staff
- 27
- Offices
- 18
Owners and executives on its Form ADV
- Henry Carl IV PrangeCommon Shareholder
- Joel Reid BlumenscheinPresident
- David Scott WilsonChief Compliance Officer
Custody and brokerage
4 custodians
- TradePMR / Robinhood$84M68%
- SEI$20M16%
- Hilltop Securities$14M11%
- Freedom Investment Management$6M5%
Other RIAs using TradePMR / RobinhoodOther multi-custodian RIAs
Broker-dealer
Hybrid RIA
KCD Financial, Inc. is a hybrid RIA: 24 of its employees are also registered representatives of a broker-dealer.
Form ADV Part 1 doesn’t name an unaffiliated broker-dealer. The firm’s Part 2A brochure (Item 10) and each adviser’s record on the SEC’s adviser search do.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 1,235 | $138M | 68% |
| High-net-worth individuals | 22 | $64M | 32% |
Disciplinary disclosures
KCD Financial, Inc. answers yes to 4 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Other
Form ADV and brochures on the SEC’s adviser search ↗kcdfinancial.com ↗
AtlasMembers
The full record on KCD Financial, Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 8 years of filings
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- Growth over one, three and five years
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- Rank against 150 peers of its type and size
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- Owners and executives, with titles and stakes
- 3 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does KCD Financial, Inc. manage?
KCD Financial, Inc. reports $202 million in regulatory assets under management across 1,259 accounts, 100% of it on a discretionary basis, on its Form ADV filed August 11, 2026.
What kind of firm is KCD Financial, Inc.?
KCD Financial, Inc. is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are KCD Financial, Inc.’s clients?
By assets, its largest client types are individuals ($138 million, 1,235 clients); high-net-worth individuals ($64 million, 22 clients).
Does KCD Financial, Inc. have any disciplinary history?
KCD Financial, Inc. answers yes to 4 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is KCD Financial, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-08-11), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →