Wealth manager, independent · Palm Desert, CA
Keystone Private Wealth
Keystone Wealth Services, LLC · SEC-registered investment adviser · CRD 301924 · SEC 801-121495
At a glance
Keystone Private Wealth is an SEC-registered investment adviser based in Palm Desert, California, with $861 million in regulatory assets under management as of its Form ADV filed August 6, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 531 individual clients. By Form ADV it is a wealth manager, ranked 1,790th of 8,915 wealth managers and 5,854th of 17,210 SEC-registered advisers by assets.
Main office 760-818-7020keystoneprivatewealth.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $861M
- Rank among wealth managers
- #1,790 of 8,915
- Rank among all SEC RIAs
- #5,854 of 17,210
- Rank in California
- #677 of 1,873
- Individual clients
- 531
- High-net-worth clients
- 246
- Accounts
- 1,542
- Discretionary
- 93% of AUM
- Employees
- 11
- Advisory staff
- 11
- Offices
- 2
Owners and executives on its Form ADV
- Mark W. ThatcherManaging Member
- Shattuck F. LammManaging Member & Chief Compliance Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Keystone Private Wealth is a hybrid RIA: 6 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed August 2026) names Purshe Kaplan Sterling Investments as the broker-dealer its advisers are registered with.
Compensation for Sales of Securities Advisory Persons of Keystone may also be registered representatives of Purshe Kaplan Sterling Investments, Inc.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 246 | $667M | 77% |
| Corporations or other businesses | 104 | $105M | 12% |
| Individuals | 285 | $84M | 10% |
| Pension and profit sharing plans | – | $3M | <1% |
| Charitable organizations | – | $1M | <1% |
Disciplinary disclosures
Keystone Private Wealth reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Pension consulting
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗keystoneprivatewealth.com ↗
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The full record on Keystone Private Wealth
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, 4 years of filings
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- Growth over one, three and five years
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- Rank against 3,906 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Background
Questions
How much does Keystone Private Wealth manage?
Keystone Private Wealth reports $861 million in regulatory assets under management across 1,542 accounts, 93% of it on a discretionary basis, on its Form ADV filed August 6, 2026.
What kind of firm is Keystone Private Wealth?
Keystone Private Wealth is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Keystone Private Wealth’s clients?
By assets, its largest client types are high-net-worth individuals ($667 million, 246 clients); corporations or other businesses ($105 million, 104 clients); individuals ($84 million, 285 clients).
Does Keystone Private Wealth have any disciplinary history?
Keystone Private Wealth reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Keystone Private Wealth’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 (2026-08-06), 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 →