{"url":"https://nivawealth.com/firms/keystone-wealth-alliance-341495","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/341495","regulatoryAum":178528735,"crd":"341495","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2701215","suffix":"JR.","lastName":"PRICE","firstName":"GLENN","middleName":"RAY"},{"crd":"7986907","suffix":null,"lastName":"Scott","firstName":"Noah","middleName":"J"},{"crd":"5920445","suffix":null,"lastName":"SCOTT","firstName":"WILLIAM","middleName":"JONATHAN"},{"crd":"7161919","suffix":null,"lastName":"Woodruff","firstName":"Dillon","middleName":"Blake"}],"total":4,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"secFileNumber":"801-136428","legalName":"Keystone Wealth Alliance, LLC","displayName":"Keystone Wealth Alliance","slug":"keystone-wealth-alliance-341495","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Tennessee limited liability company","fiscalYearEnd":"December","headquarters":{"street":"7112 Crossroads BLVD, Suite 101","city":"Brentwood","state":"TN","stateName":"Tennessee","country":"United States","postalCode":"37128"},"tradeNames":["Her Time to Retire"],"registration":{"secApproved":"4 June 2026","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1785287.35,"staff":{"employees":4,"advisory":4,"brokerDealerReps":0,"insuranceAgents":4,"promoters":0},"aum":{"regulatory":178528735,"discretionary":178528735,"discretionaryAccounts":348,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":178528735,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":28,"regulatoryAum":25189011},{"label":"High-net-worth individuals","clients":72,"regulatoryAum":153339724}],"feePrograms":[{"role":"main","program":"Investment Management Services","feeBasis":"ceiling","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1058167","versionId":1058167,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-09-16","documentName":"2A BROCHURE","fee_rate_low":null,"fee_rate_high":2.5,"fee_negotiable":true,"minimum_account":250000,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Consulting Services","summary":"Limited-scope consulting fees range from $1,000 to $25,000, or $350 per hour, negotiated with the client.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1058167","versionId":1058167,"submittedOn":"2026-09-16","documentName":"2A BROCHURE"},{"role":"other","program":"Estate Planning Coordination","summary":"Estate planning coordination is a flat fee of $500 to $2,200, charged to clients who opt in.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1058167","versionId":1058167,"submittedOn":"2026-09-16","documentName":"2A BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T18:16:45.581881+00:00","documents":[{"name":"2A BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1058167","versionId":1058167,"submittedOn":"2026-09-16"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1054582","versionId":1054582,"submittedOn":null}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":178528735}],"custodyNote":"Keystone Wealth Alliance does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"William Scott","title":"Chief Executive Officer","crd":"5920445"},{"name":"Noah Scott","title":"Chief Operating Officer","crd":"7986907"},{"name":"Dillon Woodruff","title":"Chief Compliance Officer","crd":"7161919"},{"name":"Glenn Price","title":"Chief Investment Officer","crd":"2701215"}],"ownership":[{"label":"Keystone Venture Holdings LLC","detail":"Managing member in the 75% or more ownership band and a control person, since March 2026."},{"label":"William Scott","detail":"Indirect owner: a managing member of Keystone Venture Holdings LLC in the 25% to 50% band and a control person, since March 2026.","parent":"Keystone Venture Holdings LLC"},{"label":"Glenn Price","detail":"Indirect owner: a managing member of Keystone Venture Holdings LLC in the 25% to 50% band and a control person, since March 2026.","parent":"Keystone Venture Holdings LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Tennessee","offices":1,"addresses":[{"street":"7112 Crossroads BLVD, Suite 101","city":"Brentwood","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"707-932-5849","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":36},{"label":"U.S. government/agency bonds","percent":1},{"label":"Derivatives","percent":18},{"label":"Securities issued by registered investment companies or business development companies","percent":38},{"label":"Cash and cash equivalents","percent":6},{"label":"Other","percent":1,"detail":"Private Placements"}],"privateFunds":0},"sources":{"adv1FilingDate":"16 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/341495/PDF/341495.pdf","brochureDate":"16 September 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1058167","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Keystone Wealth Alliance have?","answer":"Keystone Wealth Alliance has 100 clients and manages $179 million for them, as of September 2026. They include 72 high-net-worth individuals and 28 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 16 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Keystone Wealth Alliance offer?","answer":"Keystone Wealth Alliance provides financial planning, portfolio management for individuals and small businesses, pension consulting, and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Keystone Wealth Alliance charge?","answer":"Keystone Wealth Alliance charges up to 2.50% a year for its Investment Management Services. The fee is billed in arrears, is negotiable and requires an account of at least $250,000.","source":"2A BROCHURE, filed 16 September 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Keystone Wealth Alliance use?","answer":"Keystone Wealth Alliance’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $179M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 16 September 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Keystone Wealth Alliance have?","answer":"Keystone Wealth Alliance has 4 investment adviser representatives registered with state securities authorities, out of 4 employees, and 4 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 4 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Keystone Wealth Alliance invest in?","answer":"At the end of its last fiscal year, Keystone Wealth Alliance’s separately managed accounts held 38% registered funds (mutual funds, ETFs, BDCs), 36% exchange-traded equities, 18% derivatives, 6% cash and equivalents, 1% U.S. government and agency bonds and 1% other. The 1% other category is described as: Private Placements.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Does Keystone Wealth Alliance have a minimum investment?","answer":"Yes, Keystone Wealth Alliance’s minimum account size for its Investment Management Services is $250K.","source":"2A BROCHURE, filed 16 September 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Keystone Wealth Alliance?","answer":"Keystone Wealth Alliance is owned through a holding company by William Scott and Glenn Price. Its direct owner is Keystone Venture Holdings LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 16 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Keystone Wealth Alliance get paid?","answer":"Keystone Wealth Alliance is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Keystone Wealth Alliance?","answer":"Keystone Wealth Alliance’s main office is at 7112 Crossroads BLVD, Suite 101, Brentwood, TN 37128. Its phone number is 707-932-5849.","source":"Form ADV Part 1A, Item 1.F, filed 16 September 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}