Key Financial, Inc.
- Regulatory AUM
- $2.8B
- Discretionary
- $2.5B
- Clients
- 1,418
- Avg AUM / client
- $2.0M
- Accounts
- 4,448
- Employees
- 36
AUM over time
Annual snapshots from Form ADV filings · as of Jul 17, 2026
Investments (13F portfolio — 1,394 positions, $561,793,057)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Apple Inc | COM | $26,260,134 | 103,472 | 4.67% | 0.92% |
| 2 | Wisdomtree Tr | TRUE DEVELOPED I | $21,846,410 | 321,335 | 3.89% | 0.77% |
| 3 | Wisdomtree Tr | GLOBAL EX US QUA | $18,684,544 | 462,832 | 3.33% | 0.66% |
| 4 | Ishares Tr | US TREAS BD ETF | $17,716,990 | 773,330 | 3.15% | 0.62% |
| 5 | Spdr Series Trust | STATE STREET SPD | $17,311,800 | 183,039 | 3.08% | 0.61% |
| 6 | Wisdomtree Tr | US SMALLCAP FUND | $16,720,260 | 288,039 | 2.98% | 0.59% |
| 7 | First Tr Exchng Traded Fd Vi | FT VEST LADDERED | $13,857,722 | 410,356 | 2.47% | 0.49% |
| 8 | Microsoft Corp | COM | $10,613,144 | 28,671 | 1.89% | 0.37% |
| 9 | Ishares Tr | EAFE GRWTH ETF | $10,021,073 | 89,980 | 1.78% | 0.35% |
| 10 | First Tr Exchange Traded Fd | INTL DEV STRNGTH | $9,746,724 | 249,690 | 1.73% | 0.34% |
| 11 | Spdr Series Trust | STATE STREET SPD | $8,599,651 | 151,991 | 1.53% | 0.3% |
| 12 | Wisdomtree Tr | US LARGECAP DIVD | $8,534,350 | 95,537 | 1.52% | 0.3% |
| 13 | Invesco Exch Trd Slf Idx Fd | BULSHS 2027 MUNI | $8,090,993 | 342,056 | 1.44% | 0.28% |
| 14 | Spdr Series Trust | STATE STREET SPD | $8,083,596 | 82,562 | 1.44% | 0.28% |
| 15 | Exxon Mobil Corp | COM | $8,037,714 | 47,375 | 1.43% | 0.28% |
| 16 | Spdr Series Trust | STATE STREET SPD | $8,031,731 | 83,127 | 1.43% | 0.28% |
| 17 | J P Morgan Exchange Traded F | INTERNL GWT | $7,562,309 | 101,863 | 1.35% | 0.27% |
| 18 | First Tr Exch Traded Fd Iii | INSTL PFD SECS | $7,515,393 | 395,547 | 1.34% | 0.26% |
| 19 | Spdr Series Trust | STATE STREET SPD | $6,813,664 | 237,741 | 1.21% | 0.24% |
| 20 | Jpmorgan Chase & Co | COM | $6,488,581 | 22,058 | 1.16% | 0.23% |
| 21 | Broadcom Inc | COM | $6,337,217 | 20,475 | 1.13% | 0.22% |
| 22 | Johnson & Johnson | COM | $6,321,915 | 25,863 | 1.13% | 0.22% |
| 23 | Spdr Series Trust | STATE STREET SPD | $6,083,592 | 208,485 | 1.08% | 0.21% |
| 24 | Nvidia Corporation | COM | $5,872,746 | 33,674 | 1.05% | 0.21% |
| 25 | Amazon Com Inc | COM | $5,752,417 | 27,620 | 1.02% | 0.2% |
Top 25 of 1,394 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 722 | $267M | 9.4% |
| High net worth individuals | 687 | $2.5B | 89.8% |
| Pension and profit sharing plans | Fewer than 5 clients | $3.0M | 0.1% |
| State or municipal government entities | Fewer than 5 clients | $7.8M | 0.27% |
| Corporations and other businesses | 9 | $12.9M | 0.45% |
People (8)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Patricia Clark Brennan | Ceo And Cco | CFP | Jan 1997 (30y) | 75% or more |
| Richard Bradley Everett | Chief Investment Officer | CFP CFA | Oct 2013 (13y) | Less than 5% |
| Eric Ryan Fuhrman | Chief Planning Officer | CFP | May 2014 (12y) | Less than 5% |
| Michael Patrick Brennan | Registered representative | CFP | Oct 2019 (7y) | |
| Diane L Krainik | Registered representative | CFP | Apr 2022 (4y) | |
| Elizabeth Jane Miller | Registered representative | Apr 2022 (4y) | ||
| Matthew Douglas Mainwaring | Registered representative | CFP | Apr 2022 (4y) | |
| Spencer Paul Peet | Registered representative | CFP | Apr 2022 (4y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/17/2026 | 978 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
- • Commissions
- • Other fees
- • FINANCIAL PLANNING RETAINER
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Educational seminars/workshops
Custody
Reported custodians
- Pershing $2.8B (97% of AUM) Jul 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 17, 2026.
View current Form ADV (SEC/IAPD) ↗