Kerns Legacy Planning
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$0
Clients
0
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Clients per advisor
0
Average account size
—
About
Kerns Legacy Planning offers portfolio management and financial planning services, providing discretionary management, Investment Policy Statements, and access to third‑party advisers. The firm lists individuals, high‑net‑worth clients, and business entities as client types while focusing its advisory services on managed accounts using mutual funds, ETFs, equities, fixed income, TIPS, and private placements.
The firm’s investment process combines fundamental analysis, modern portfolio theory, and technical analysis and can employ long‑term and short‑term trading as well as options strategies. KLPL seeks discretionary authority for trading, documents client risk tolerances in a written IPS, and states it may use margin borrowing in limited circumstances while calculating advisory fees on net equity (excluding borrowed funds) to address the related fee conflict.
Distinctive operational features include a willingness to use borrowing and derivatives (including options strategies such as uncovered and spread positions) in separately managed accounts—an approach that is uncommon among similar investment managers. KLPL also requires clients to use a specific custodian for discretionary accounts, does not aggregate block trades for multiple clients, and is a very small, newly formed adviser, which may affect execution, reporting, and institutional due diligence considerations.
Client services
Financial planning
Portfolio management
Selection of other advisers
Expertise
Options & derivatives strategies
Wealth management
Fee options
Financial planning flat fee of $250; consulting fees range from $250 to $5,000 depending on complexity; investment consultation fee is greater of $250 or 1% of proposed trade value, max $5,000.
$1 - $999,999: 1.00% $1,000,000 - $1,999,999: 0.90% $2,000,000+: 0.80%
Main office location
Kerns Legacy Planning
3509 E Shea Blvd, Ste 109
Phoenix AZ 85028, United States
Number of offices
1
Most active in
Kerns Legacy Planning has reported serving >5 clients in these states in the last 12 months.
Arizona
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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