Key Investment Services LLC

Registered investment adviser · Brooklyn, OH · CRD #136300

Form ADV data as of 2026-09-01

Regulatory assets

$8.88 billion

Total accounts

34,920

Employees

1,325

Disclosure events

Firm details

Website: https://www.key.com/kpb/our-approach/kis.html
Telephone: (888) 547-2968
SEC file number: 801-65060
Most recent Form ADV filing: 2026-06-30
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 7 disclosure questions answered Yes, covering 19 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.

SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC entered an order in connection with investment-related activity
SEC or CFTC imposed a civil money penalty or a cease-and-desist order
Another regulator found a violation of investment-related regulations or statutes
Another regulator entered an order in connection with investment-related activity (past 10 years)
A self-regulatory organization found a violation of its rules
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	$0
Non-discretionary regulatory assets under management	$8.88 billion
Total regulatory assets under management	$8.88 billion
Discretionary accounts	0
Non-discretionary accounts	34,920
Total accounts	34,920
Regulatory assets under management attributable to non-U.S. persons	$887.7 million

People

Total employees (excluding clerical)	1,325
Employees performing investment advisory functions (including research)	360
Employees who are registered representatives of a broker-dealer	1,325
Employees registered as investment adviser representatives with a state	360
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	1,200
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
Client funds and securities held in the firm's custody	$0
Clients for whom the firm has custody	0
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 management

Advisory services offered

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

Other business activities

Broker-dealer (registered or unregistered)

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Registered municipal advisorCommodity pool operator or commodity trading advisorBanking or thrift institutionTrust companyInsurance company or agencySponsor or syndicator of limited partnershipsSponsor, general partner, or managing member of pooled investment vehicles

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys or sells for itself securities it also recommends to clients
Recommends securities in which it has another proprietary interest
Recommends brokers or dealers to clients
Receives soft dollar benefits

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	33,369	$7.00 billion
High net worth individuals	1,140	$1.77 billion
Pension and profit sharing plans (not the participants or government plans)	175	$14.3 million
Charitable organizations	100	$32.8 million
Corporations or other businesses not listed above	136	$55.3 million