Kcd Financial, Inc.

Registered investment adviser · Green Bay, WI · CRD #127473

Form ADV data as of 2026-09-01

Regulatory assets

$202.1 million

Total accounts

1,259

Employees

Disclosure events

Firm details

Website: http://www.kcdfinancial.com
Telephone: 920-347-3400
SEC file number: 801-110069
Most recent Form ADV filing: 2026-08-11
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 4 disclosure questions answered Yes, covering 4 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

Another regulator found a violation of investment-related regulations or statutes
A self-regulatory organization found a violation of its rules
A self-regulatory organization expelled, suspended, barred, or restricted the firm
Currently subject to a regulatory proceeding that could result in a disclosure under 11.C., 11.D., or 11.E.

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$202.1 million
Non-discretionary regulatory assets under management	$0
Total regulatory assets under management	$202.1 million
Discretionary accounts	1,259
Non-discretionary accounts	0
Total accounts	1,259
Regulatory assets under management attributable to non-U.S. persons	$0

People

Total employees (excluding clerical)	29
Employees performing investment advisory functions (including research)	27
Employees who are registered representatives of a broker-dealer	24
Employees registered as investment adviser representatives with a state	27
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	28
Firms or persons who solicit advisory clients on the firm's behalf	0

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	No
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No

How the firm is compensated

A percentage of assets under managementHourly chargesFixed fees (other than subscription fees)Other

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)

Other business activities

Broker-dealer (registered or unregistered)Insurance broker or agent

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	1,235	$138.1 million
High net worth individuals	22	$64.0 million