Investment adviser · CRD 3866

KMS FINANCIAL SERVICES, INC

Investment adviser filing (IA)

KMS FINANCIAL SERVICES, INC.

SEATTLE, WA, United States · Form ADV filed Nov 9, 2020

Regulatory AUM: $8.19B
Client accounts: 33,857
Employees: 429
Advisory professionals: 390

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
High-net-worth individuals	4,476	$4,830,352,963	59.0%
Individuals	10,057	$2,869,519,599	35.0%
Retirement plans	124	$371,361,194	4.5%
Corporations & businesses	118	$102,492,640	1.3%
Charities	16	$10,824,957	0.1%
Pooled investment vehicles	12	$7,264,059	0.1%
Government entities	Fewer than 5	$1,503,943	0.0%

Filing source

Form ADV 1466657 · Nov 9, 2020 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

0 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

This filing answers No to private funds.

Services & filing details

Most recent filing: Nov 9, 2020. View historical filings

Reported services

Financial planning · Individual portfolio management · Pooled investment vehicle management · Business portfolio management · Pension consulting · Selection of other advisers · Publication of newsletters · Market timing · Educational seminars

Compensation

Percentage of assets · Hourly · Fixed · Commissions

Principal office

2001 SIXTH AVE STE 2801
SEATTLE, WA, 98121, United States

CRD 3866

Filing source

Form ADV 1466657 · Nov 9, 2020 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.