SEC-registered independent wealth management RIA
Keynote Financial Services, LLC
As of its Form ADV filed March 11, 2026, Keynote Financial Services, LLC, an SEC-registered independent wealth management RIA in Vernon, Connecticut, reported $227.4 million in regulatory assets under management across 536 accounts, ranking #106 among independent RIAs in Connecticut by assets.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 130384
- SEC file number
- 801-126600
- Registered since
- September 22, 2022
- Latest Form ADV filing
- March 11, 2026
- Organized as
- Limited Liability Company
- Fiscal year ends
- December
- Other offices
- 0
Key figures
- Regulatory assets under management
- $227.4 million
- Discretionary
- $227.4 million (100.0%)
- Non-discretionary
- $0
- Accounts
- 536 (536 discretionary)
- Clients
- 209, approximate as reported
- Employees
- 2
- Advisory staff
- 2 performing investment advisory functions
- Average account
- $424,258
- Asset growth, 1 year
- 24.9% (from $182.0 million a year earlier)
- Asset growth, 3-year annual rate
- 19.2% (from $134.4 million three years earlier)
- Asset growth, 5-year annual rate
- Not reported
- Client growth, 1 year
- -7.1% (from 225)
Independent wealth management RIA: individual and high net worth clients hold at least half of its regulatory assets, it offers financial planning or portfolio management for individuals, and it is not a broker-dealer, a bank or part of one by the directory's rules. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among independent wealth management RIAs.
| Ranking | Nationally | In Connecticut | Value |
|---|---|---|---|
| Largest independent RIAs by assets under management | #4,922 | #106 | $227.4 million |
| Fastest-growing independent RIAs over one year | #1,511 | #29 | 24.9%from $182.0 million |
| Fastest-growing independent RIAs over three years | #1,807 | #45 | 19.2%from $134.4 million |
| Independent RIAs with the biggest asset gains over one year | #3,668 | #83 | $45.4 million |
| Independent RIAs with the most clients | #5,347 | #87 | 209 |
| Independent RIAs with the fastest client growth over one year | #5,115 | #89 | -7.1%from 225 |
| Independent RIAs with the most accounts | #4,627 | #70 | 536 |
| Independent RIAs with the most advisory staff | #6,488 | #118 | 2 |
| Independent RIAs with the most high net worth clients | #4,194 | #85 | 73 |
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 3, 2022 | $132.0 million |
| October 5, 2023 | $134.4 million |
| October 1, 2024 | $154.7 million |
| September 2, 2025 | $182.0 million |
| October 2, 2026 | $227.4 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 73 clients | $187.1 million | |
| Individuals (other than high net worth) 125 clients | $27.6 million | |
| Pension and profit sharing plans 6 clients | $10.1 million | |
| Charitable organizations fewer than 5 clients | $2.6 million | |
| Corporations or other businesses fewer than 5 clients | $50,244 |
How the firm is paid
- A percentage of assets under management
- Hourly charges
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Portfolio management for businesses or institutional clients
Financial planning clients (Item 5.H): 0.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
None reported.
Financial industry affiliations (Item 7.A)
None reported.
Custody (Item 9)
The firm reported custody of client cash or securities, $8.6 million in total.
Investment adviser representatives
- IARs registered with the firm
- 0
- Also registered through a broker-dealer
- 0
- Employees who are IARs (Form ADV 5.B(3))
- 2
IAR registrations by jurisdiction are not available for this firm. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 0 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in Connecticut
| Firm | City | RAUM |
|---|---|---|
| Constitution Investment Advisory and Portfolio Management | Shelton | $241.3 million |
| Wharton Midmarket Investment Advisors Inc | Woodbridge | $231.1 million |
| Granite Islands Private Wealth, LLC | Guilford | $229.9 million |
| Lansdowne Wealth Management, LLC | Mystic | $227.7 million |
| Kennedy Wealth & Tax Management, LLC | Southbury | $215.5 million |
The five independent RIAs nearest in regulatory assets with a main office in the same state.
Elsewhere
- Keynote Financial Services, LLC on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.keynotefs.com
- Independent RIAs in Connecticut
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.