Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total AUM
Total Accounts
10Y AUM Change
Private Funds
Private funds reported by Beacon Financial Group
Loading private fund disclosures…
Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees
Clients per Employee
10Y Employee Change
Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.
Ownership
Reported direct and indirect ownership ranges
Each range applies to a separate reported relationship and should not be added together.
Reported ownership ranges
Highlighted bands show the percentage range reported in Form ADV.
0%25%50%75%100%
KESTRA FINANCIAL, INCDirect owner · Schedule AInterest in BEACON FINANCIAL GROUP
75%+
KESTRA ADVISOR SERVICES HOLDING C, INC.Indirect owner · Schedule BInterest in KESTRA FINANCIAL, INC
75%+
KESTRA ADVISOR SERVICES HOLDINGS B, INC.Indirect owner · Schedule BInterest in KESTRA ADVISOR SERVICES HOLDING C, INC.
75%+
KESTRA ADVISOR SERVICES HOLDINGS A, INC.Indirect owner · Schedule BInterest in KESTRA ADVISOR SERVICES HOLDINGS B, INC.
75%+
KINGFISHER HOLDING, L.P.Indirect owner · Schedule BInterest in KINGFISHER HOLDING A, INC.
75%+
KINGFISHER HOLDING A, INC.Indirect owner · Schedule BInterest in KINGFISHER HOLDING B, INC.
75%+
KINGFISHER HOLDING B, INC.Indirect owner · Schedule BInterest in KESTRA ADVISOR SERVICES HOLDINGS A, INC.
75%+
KINGFISHER TOPCO HOLDINGS, LPIndirect owner · Schedule BInterest in KINGFISHER HOLDING, L.P.
75%+
WARBURG PINCUS FINANCIAL SECTOR, L.P.Indirect owner · Schedule BInterest in KINGFISHER HOLDING, L.P.
25% to < 50%
OHCP VI ENZO AGGREGATOR, L.P.Indirect owner · Schedule BInterest in KINGFISHER TOPCO HOLDINGS, LP
25% to < 50%
OAK HILL CAPITAL PARTNERS VI (ONSHORE), L.P.Indirect owner · Schedule BInterest in OHCP VI ENZO AGGREGATOR, L.P.
25% to < 50%
OAK HILL CAPITAL PARTNERS VI (TE 892), L.P.Indirect owner · Schedule BInterest in OHCP VI ENZO AGGREGATOR, L.P.
25% to < 50%
T-IX KRAKEN CO-INVEST, LPIndirect owner · Schedule BInterest in KINGFISHER TOPCO HOLDINGS, LP
25% to < 50%
Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Beacon Financial Group.
Reported ownership and control details
Form ADV · Filing date 2026-03-13 · Schedules A and B
| # | Owner / person & role | Interest in entity | Reported interest | Control person | Title / status acquired | Source |
|---|---|---|---|---|---|---|
| 1 | KESTRA FINANCIAL, INCMANAGING MEMBERDomestic entity | BEACON FINANCIAL GROUP | 75% or moreCode E | Yes | MANAGING MEMBER10/2014 | Schedule APDF page 47 |
| 2 | STEPHEN ANTHONY ENGROPRESIDENT/ TREASURER/ CHIEF COMPLIANCE OFFICER/ SECRETARYIndividual | BEACON FINANCIAL GROUP | Less than 5%Code NA | Yes | PRESIDENT/ TREASURER/ CHIEF COMPLIANCE OFFICER/ SECRETARY01/2000 | Schedule APDF page 48 |
| 3 | ROBERT BREDT NORWOODEXECUTIVE VICE PRESIDENT OF KESTRA FINANCIAL, INCIndividual | BEACON FINANCIAL GROUP | Less than 5%Code NA | Yes | EXECUTIVE VICE PRESIDENT OF KESTRA FINANCIAL, INC06/2016 | Schedule APDF page 48 |
| 4 | YIN YINCONTROLLER AT KESTRA FINANCIAL, INCIndividual | BEACON FINANCIAL GROUP | Less than 5%Code NA | Yes | CONTROLLER AT KESTRA FINANCIAL, INC06/2016 | Schedule APDF page 48 |
| 5 | BRANDON KEITH SHERBERTCHIEF OPERATING OFFICERIndividual | BEACON FINANCIAL GROUP | Less than 5%Code NA | Yes | CHIEF OPERATING OFFICER05/2013 | Schedule APDF page 48 |
| 6 | ROBERT BREDT NORWOODASSISTANT SECRETARY AND ASSISTANT VICE PRESIDENTIndividual | BEACON FINANCIAL GROUP | Less than 5%Code NA | No | ASSISTANT SECRETARY AND ASSISTANT VICE PRESIDENT03/2021 | Schedule APDF page 48 |
| 7 | LORI ANN MARKHAMASSISTANT SECRETARYIndividual | BEACON FINANCIAL GROUP | Less than 5%Code NA | No | ASSISTANT SECRETARY03/2021 | Schedule APDF page 48 |
| 8 | KESTRA ADVISOR SERVICES HOLDING C, INC.OWNERDomestic entity | KESTRA FINANCIAL, INC | 75% or moreCode E | Yes | OWNER10/2014 | Schedule BPDF page 48 |
| 9 | KESTRA ADVISOR SERVICES HOLDINGS B, INC.OWNERDomestic entity | KESTRA ADVISOR SERVICES HOLDING C, INC. | 75% or moreCode E | Yes | OWNER10/2014 | Schedule BPDF page 48 |
| 10 | KESTRA ADVISOR SERVICES HOLDINGS A, INC.OWNERDomestic entity | KESTRA ADVISOR SERVICES HOLDINGS B, INC. | 75% or moreCode E | Yes | OWNER10/2014 | Schedule BPDF page 48 |
| 11 | KINGFISHER HOLDING, L.P.OWNERDomestic entity | KINGFISHER HOLDING A, INC. | 75% or moreCode E | Yes | OWNER06/2019 | Schedule BPDF page 48 |
| 12 | KINGFISHER HOLDING A, INC.OWNERDomestic entity | KINGFISHER HOLDING B, INC. | 75% or moreCode E | Yes | OWNER06/2019 | Schedule BPDF page 48 |
| 13 | KINGFISHER HOLDING B, INC.OWNERDomestic entity | KESTRA ADVISOR SERVICES HOLDINGS A, INC. | 75% or moreCode E | Yes | OWNER06/2019 | Schedule BPDF page 48 |
| 14 | WARBURG PINCUS FINANCIAL SECTOR, L.P.LIMITED PARTNERDomestic entity | KINGFISHER HOLDING, L.P. | 25% to less than 50%Code C | Yes | LIMITED PARTNER06/2019 | Schedule BPDF page 48 |
| 15 | KINGFISHER HOLDING GP, LLCGENERAL PARTNERDomestic entity | KINGFISHER HOLDING, L.P. | Percentage not specifiedCode F | Yes | GENERAL PARTNER02/2025 | Schedule BPDF page 48 |
| 16 | OHCP VI ENZO AGGREGATOR, L.P.OWNERDomestic entity | KINGFISHER TOPCO HOLDINGS, LP | 25% to less than 50%Code C | Yes | OWNER02/2025 | Schedule BPDF page 48 |
| 17 | OAK HILL CAPITAL PARTNERS VI (ONSHORE), L.P.OWNERDomestic entity | OHCP VI ENZO AGGREGATOR, L.P. | 25% to less than 50%Code C | Yes | OWNER02/2023 | Schedule BPDF page 48 |
| 18 | OAK HILL CAPITAL PARTNERS VI (TE 892), L.P.OWNERDomestic entity | OHCP VI ENZO AGGREGATOR, L.P. | 25% to less than 50%Code C | Yes | OWNER02/2023 | Schedule BPDF page 49 |
| 19 | KINGFISHER TOPCO HOLDINGS, LPOWNERDomestic entity | KINGFISHER HOLDING, L.P. | 75% or moreCode E | Yes | OWNER02/2025 | Schedule BPDF page 49 |
| 20 | KINGFISHER TOPCO HOLDINGS GP, LLCGENERAL PARTNERDomestic entity | KINGFISHER TOPCO HOLDINGS, LP | Percentage not specifiedCode F | Yes | GENERAL PARTNER02/2025 | Schedule BPDF page 49 |
| 21 | T-IX KRAKEN CO-INVEST, LPOWNERDomestic entity | KINGFISHER TOPCO HOLDINGS, LP | 25% to less than 50%Code C | Yes | OWNER02/2025 | Schedule BPDF page 49 |
Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.
Compliance & Disclosures
Filing dated 3/13/2026 2:56:48 PM
Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.
RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No
In the past ten years, have you or any advisory affiliate:
- A1Been convicted of or pleaded guilty or no contest to a felony?No
- A2Been charged with a felony?No
BMisdemeanors2 No
In the past ten years, have you or any advisory affiliate:
- B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
- B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No
Has the SEC or CFTC ever:
- C1Found you or an advisory affiliate made a false statement or omission?No
- C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
- C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
- C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No
Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:
- D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
- D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
- D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
- D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No
Has a self-regulatory organization or commodities exchange ever:
- E1Found you or an advisory affiliate made a false statement or omission?No
- E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
- E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
- FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
- GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No
(1) Court actions
Has a domestic or foreign court:
- H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
- H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
- H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No
(2) Pending civil proceedings
- H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No
* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.