Wealth manager, independent · SAN Diego, CA
Kingswood Wealth Advisors, LLC
SEC-registered investment adviser · CRD 288792 · SEC 801-110755
At a glance
Kingswood Wealth Advisors, LLC is an SEC-registered investment adviser based in SAN Diego, California, with $3.8B in regulatory assets under management as of its Form ADV filed September 22, 2026. It reports 11,259 individual clients, 2,274 of them high-net-worth, holding an average of about $0.3 million each, and 88 employees. That ranks it 291st among the nation’s 5,657 independent wealth management RIAs and 35th of 714 in California. It reports 3 custodians for its clients’ separately managed accounts: Charles Schwab, Raymond James and RBC.
Main office 800-535-6981kingswoodus.comAs filed on Form ADV
- Regulatory AUM
- $3.8B
- Rank among independent wealth managers
- #291 of 5,657
- Rank among all SEC RIAs
- #2,486 of 17,210
- Rank in California
- #35 of 714
- Individual clients
- 11,259
- High-net-worth clients
- 2,274
- Accounts
- 12,273
- Discretionary
- 92% of AUM
- Employees
- 88
- Advisory staff
- 76
- Offices
- 44
Owners and executives on its Form ADV
- Mohamed A AlsoraimiChief Compliance Officer
- Michael H. NessimCEO
- Jeremy M. WilderChief Legal Officer
- Valeriy P RayevskiyCOO
- Jaime G. GoldenPresident - Business Development and Acquisitions
- Ashley J. WebbDirector of Operations
- Nicole M. EnglishOperations Principal
Custody and brokerage
Broker-dealer
Hybrid RIA
Kingswood Wealth Advisors, LLC is a hybrid RIA: 70 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Kingswood Capital Partners, LLC.
- Kingswood Capital Partners, LLC ↗CRD 288898
Its Form ADV brochure (filed September 2026) names Kingswood Capital Partners as the broker-dealer its advisers are registered with.
Commissions and Sales Charges for Recommendations of Securities Clients can engage certain persons associated with KCP to render securities brokerage services under a separate commission-based arrangement.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 2,274 | $2.1B | 55% |
| Individuals | 8,985 | $1.6B | 41% |
| Corporations or other businesses | 105 | $82M | 2% |
| Pension and profit sharing plans | 57 | $22M | <1% |
| Insurance companies | 2 | $9M | <1% |
| Charitable organizations | 2 | $7M | <1% |
Disciplinary disclosures
Kingswood Wealth Advisors, LLC 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
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
- Other services
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗kingswoodus.com ↗
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Similar-size RIAs in California
All of California →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Gerber Kawasaki Wealth & Investment ManagementSanta Monica | $4.1B | 9,425 |
| Team Hewins, LLCFoster City | $4.0B | 551 |
| Vernal Point Advisors, LLCSAN Francisco | $3.9B | 18 |
| Mozaic, LLCBeverly Hills | $3.6B | 86 |
| Abacus Wealth PartnersSanta Monica | $3.6B | 1,547 |
| Morton WealthCalabasas | $3.5B | 1,215 |
Background
Questions
How much does Kingswood Wealth Advisors, LLC manage?
Kingswood Wealth Advisors, LLC reports $3.8B in regulatory assets under management across 12,273 accounts, 92% of it on a discretionary basis, on its Form ADV filed September 22, 2026.
How many clients does Kingswood Wealth Advisors, LLC have?
It reports 11,259 individual clients: 2,274 high-net-worth individuals and 8,985 other individuals. Individuals account for about 97% of its regulatory assets.
Where is Kingswood Wealth Advisors, LLC headquartered?
Its main office is in SAN Diego, California. It reports 44 offices in total and 88 employees, 76 of whom perform investment advisory functions.
How does Kingswood Wealth Advisors, LLC charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; hourly charges; fixed fees. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Kingswood Wealth Advisors, LLC use?
It reports 3 custodians for its clients’ separately managed accounts: Charles Schwab, Raymond James and RBC. On Schedule D of its Form ADV filed September 22, 2026, it reports these amounts held: Charles Schwab ($1.9B); Raymond James ($1.5B); RBC ($298M). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Kingswood Wealth Advisors, LLC a hybrid RIA with a broker-dealer?
Kingswood Wealth Advisors, LLC is a hybrid RIA: 70 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Kingswood Capital Partners, LLC. Those representatives can also earn commissions on brokerage business through the broker-dealer, where different rules apply than for advisory accounts.
Is Kingswood Wealth Advisors, LLC a fiduciary?
As an SEC-registered investment adviser, Kingswood Wealth Advisors, LLC owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. 70 of its employees are also registered representatives of a broker-dealer, where different rules apply to brokerage recommendations.
Where these numbers come from
Every figure is Kingswood Wealth Advisors, LLC’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 (2026-09-22), 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). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. 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 →