KW Wealth Management LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$121,903,775
Total clients
80
38% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
80
Average account size
$1,523,797
About
KW Wealth Management provides ongoing portfolio management, financial planning, and pension consulting services to individuals, high-net-worth clients, corporations and 401(k) plans. The firm manages roughly $122 million across about 80 client relationships and generally requires a higher account minimum for new advisory accounts.
The firm implements individualized Investment Policy Statements and typically manages accounts on a discretionary basis, pursuing a long-term trading orientation while employing a wide mix of analytical techniques (charting, cyclical, fundamental, modern portfolio theory, quantitative and technical analysis). It uses an independent custodian for custody and fee calculation and delivers regular portfolio monitoring and quarterly reporting to clients.
A distinctive feature is its pension consulting offering, which includes creating written pension plans, recommending money managers and monitoring plan investments—services that are uncommon among similar independent firms. The brochure also discloses that firm personnel hold broker-dealer and insurance licenses and may offer commissionable products (a potential conflict that is disclosed), and the firm provides free financial education content and accepts a broad range of investment types, including precious-metal ETFs, private placements and non-U.S. securities.
Client services
Financial planning
Portfolio management
Pension consulting
Expertise
Retirement plans for business owners (SEP, solo 401k)
Annuities
Occupation focus
Founder/Business Owner
Executive
Fee options
Fixed financial planning fees negotiated between $1,000 and $5,500.
$0 - $250,000: 1.35% $250,001 - $500,000: 1.20% $500,001 - $1,000,000: 1.00% $1,000,001 - $3,000,000: 0.90% $3,000,001 - And Up: 0.75%
Commission from sale of investment and insurance products by representative Yee Ki Wan, but commissions are not the primary source of compensation.
Account minimum: $500,000 (may be waived at discretion)
Main office location
KW Wealth Management LLC
Sacramento CA, United States
Number of offices
2
Most active in
KW Wealth Management LLC has reported serving >5 clients in these states in the last 12 months.
California
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.
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