Keystone Financial Group, LLC
Registered investment adviser · Lexington, KY · CRD #170201
Form ADV data as of 2026-09-01Regulatory assets
$2.34 billion
Total accounts
6,628
Employees
49
Disclosure events
0
Firm details
- Website: https://www.facebook.com/keystone-financial-group-412478585480311/?fref=ts
- Telephone: 859-317-8316
- SEC file number: 801-79274
- Most recent Form ADV filing: 2026-03-17
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm answered No to every Item 11 disciplinary question on its most recent Form ADV filing.
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $2.32 billion |
| Non-discretionary regulatory assets under management | $21.2 million |
| Total regulatory assets under management | $2.34 billion |
| Discretionary accounts | 6,522 |
| Non-discretionary accounts | 106 |
| Total accounts | 6,628 |
| Regulatory assets under management attributable to non-U.S. persons | $0 |
People
| Total employees (excluding clerical) | 49 |
| Employees performing investment advisory functions (including research) | 33 |
| Employees who are registered representatives of a broker-dealer | 30 |
| Employees registered as investment adviser representatives with a state | 34 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 33 |
| Firms or persons who solicit advisory clients on the firm's behalf | 0 |
Custody
| Has custody of client cash or bank accounts | Yes |
| Has custody of client securities | Yes |
| Client funds and securities held in the firm's custody | $526.9 million |
| Clients for whom the firm has custody | 1,959 |
| 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 |
| Number of persons acting as qualified custodians for the firm's clients | 4 |
How the firm is compensated
Advisory services offered
Other business activities
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 brokers or dealers to clients
- Compensates a non-employee for client referrals
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | 6,138 | $1.11 billion |
| High net worth individuals | 464 | $1.19 billion |
| Charitable organizations | 13 | $5.3 million |
| Corporations or other businesses not listed above | 13 | $30.1 million |