{"url":"https://nivawealth.com/firms/kw-wealth-management-298466","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/298466","regulatoryAum":121903775,"crd":"298466","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"3078166","suffix":null,"lastName":"Wan","firstName":"Yee Ki","middleName":null}],"total":1,"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"},"history":[{"filedOn":"2025-01-27","regulatoryAum":101992766,"clients":75,"employees":1,"offices":2},{"filedOn":"2026-02-05","regulatoryAum":121903775,"clients":80,"employees":1,"offices":2}],"secFileNumber":"801-131526","legalName":"KW Wealth Management LLC","displayName":"KW Wealth Management","slug":"kw-wealth-management-298466","website":"https://kwwealthmanagement.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"California limited liability company","fiscalYearEnd":"December","headquarters":{"street":"","city":"","state":"","stateName":"","country":"","postalCode":null},"tradeNames":[],"registration":{"secApproved":"27 November 2024","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1523797.1875,"staff":{"employees":1,"advisory":1,"brokerDealerReps":1,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":121903775,"discretionary":121903775,"discretionaryAccounts":211,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":50,"regulatoryAum":98682954},{"label":"High-net-worth individuals","clients":30,"regulatoryAum":23220821}],"feePrograms":[{"role":"main","program":"Portfolio Management Fees","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1006776","versionId":1006776,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-02-05","documentName":"ADV PART 2A-KW WEALTH MANAGEMENT LLC","fee_rate_low":0.75,"fee_rate_high":1.35,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial planning","summary":"Financial planning is a negotiated fixed fee between $1,000 and $5,500 for a financial plan and annual or semi-annual portfolio review.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1006776","versionId":1006776,"submittedOn":"2026-02-05","documentName":"ADV PART 2A-KW WEALTH MANAGEMENT LLC"},{"role":"other","program":"Pension consulting","summary":"Pension consulting is billed at 0.30% to 0.40% of the plan assets consulted on, and the fees are negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1006776","versionId":1006776,"submittedOn":"2026-02-05","documentName":"ADV PART 2A-KW WEALTH MANAGEMENT LLC"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T16:09:20.267667+00:00","documents":[{"name":"ADV PART 2A-KW WEALTH MANAGEMENT LLC","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1006776","versionId":1006776,"submittedOn":"2026-02-05"}]},"custodians":[{"name":"Interactive Brokers LLC","shortName":"Interactive Brokers","location":"Greenwich, CT","smaAssets":121903775}],"custodyNote":"KW Wealth Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Yee Wan","title":"Managing Member & Chief Compliance Officer","crd":"3078166"}],"ownership":[{"label":"Yee Wan","detail":"Managing member & chief compliance officer in the 75% or more ownership band and a control person, since July 2018."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"2377 Gold Meadow Way","city":"Gold River"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"916-758-9218","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services"],"financialPlanningClients":"26-50","assetMix":[{"label":"Exchange-traded equity securities","percent":33},{"label":"U.S. government/agency bonds","percent":4},{"label":"U.S. state and local bonds","percent":1},{"label":"Investment grade corporate bonds","percent":4},{"label":"Securities issued by registered investment companies or business development companies","percent":51},{"label":"Cash and cash equivalents","percent":6},{"label":"Other","percent":1,"detail":"Commodity Index"}],"privateFunds":0},"sources":{"adv1FilingDate":"5 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/298466/PDF/298466.pdf","brochureDate":"5 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1006776","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 KW Wealth Management have?","answer":"KW Wealth Management has 80 clients and manages $122 million for them, as of February 2026. They include 50 individual clients and 30 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 5 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does KW Wealth Management offer?","answer":"KW Wealth Management provides financial planning, portfolio management for individuals and small businesses, and pension consulting.","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 KW Wealth Management charge?","answer":"KW Wealth Management charges 0.75%–1.35% a year for its Portfolio Management Fees. The fee is billed in arrears and is negotiable.","source":"ADV PART 2A-KW WEALTH MANAGEMENT LLC, filed 5 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does KW Wealth Management use?","answer":"KW Wealth Management’s separately managed account assets are held at Interactive Brokers LLC (Greenwich, CT), with $122M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 5 February 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does KW Wealth Management have?","answer":"KW Wealth Management has 1 investment adviser representative registered with state securities authorities, out of 1 employees, and 1 perform investment advisory functions. 1 employee is a registered representative of a broker-dealer and 1 employee is a licensed insurance agent.","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 KW Wealth Management invest in?","answer":"At the end of its last fiscal year, KW Wealth Management’s separately managed accounts held 51% registered funds (mutual funds, ETFs, BDCs), 33% exchange-traded equities, 6% cash and equivalents, 4% U.S. government and agency bonds, 4% investment grade corporate bonds, 1% state and local bonds and 1% other. The 1% other category is described as: Commodity Index.","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":"Who owns KW Wealth Management?","answer":"KW Wealth Management’s direct owner is Yee Wan (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 5 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does KW Wealth Management get paid?","answer":"KW Wealth Management is paid through a percentage of assets under management 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 KW Wealth Management?","answer":"Its phone number is 916-758-9218. Its website is kwwealthmanagement.com.","source":"Form ADV Part 1A, Item 1.F, filed 5 February 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."}