# KKM Financial LLC

> KKM Financial LLC is an SEC-registered investment advisory firm in Chicago, IL, registered since 2012, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated August 7, 2026.

- CRD: 165136
- Filed as: KKM FINANCIAL LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Chicago, IL
- Filing period: October 2026
- Form ADV filing dated: August 7, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/165136
- AdvisorCensus page: https://advisorcensus.com/firm/kkm-financial-llc-chicago-il-165136

## Quick answers

**How is KKM Financial LLC compensated?**
On its Form ADV (Item 5.E, October 2026), KKM Financial LLC reports these compensation arrangements: a percentage of assets under its management.

**Where is KKM Financial LLC located?**
KKM Financial LLC's principal office is in Chicago, IL, according to its Form ADV.

**Is KKM Financial LLC registered with the SEC or a state?**
KKM Financial LLC is an SEC-registered investment advisory firm, registered since 2012. Status as filed: Approved. CRD 165136.

**How much does KKM Financial LLC manage?**
KKM Financial LLC reports $865,677,457 in regulatory assets under management in its Form ADV filing dated August 7, 2026 (89% discretionary).

**How have KKM Financial LLC's assets and staff changed since 2021?**
In the Form ADV data for KKM Financial LLC: Regulatory assets under management: $289,458,102 in the October 2021 data and $865,677,457 in the October 2026 data, up 199%. Total employees: 5 in October 2021 and 5 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does KKM Financial LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (109); high net worth individuals (50); investment companies (2).

**Which custodians does KKM Financial LLC use?**
KKM Financial LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Pershing Advisor Solutions LLC as custodians holding 10% or more of its separately managed account assets.

**Does KKM Financial LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/165136

**Does KKM Financial LLC state an account minimum?**
Its Form ADV Part 2A brochure dated August 7, 2026 says: "The minimum market value of cash and/or securities to open an account is $100,000. The minimum may be waived at KKM's discretion."

**What changed in KKM Financial LLC's recent Form ADV filings?**
In the September 2026 filing data: Regulatory assets under management went from $733,944,803 to $865,677,457 (+18%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Fees and minimums (Form ADV Part 2A brochure dated August 7, 2026)

- Account minimum: $100,000 (the brochure says it may be waived or negotiated)

> The minimum market value of cash and/or securities to open an account is $100,000. The minimum may be waived at KKM's discretion.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- Pershing Advisor Solutions LLC

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $865,677,457
- Discretionary: $770,998,501
- Non-discretionary: $94,678,956

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 109 | $35,785,098 |
| High net worth individuals | 50 | $139,014,467 |
| Investment companies | 2 | $596,198,936 |
| Other investment advisers | 1 | $94,678,956 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (and business development companies)
- Portfolio management for businesses (other than small businesses) or institutional clients

### Firm details
- Registered since: 2012 (14 years)
- Employees: 5 total, 3 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CO, IL
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- essential40etf.com
- kkmfinancial.com
- mangogrowthetf.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $289,458,102 | 5 | March 31, 2021 |
| October 2022 | $300,745,362 | 4 | July 18, 2022 |
| October 2023 | $279,056,473 | 4 | March 31, 2023 |
| October 2024 | $333,352,649 | 3 | March 28, 2024 |
| October 2025 | $365,960,325 | 3 | March 30, 2025 |
| October 2026 | $865,677,457 | 5 | August 7, 2026 |

Regulatory assets under management: $289,458,102 in the October 2021 data and $865,677,457 in the October 2026 data, up 199%.
Total employees: 5 in October 2021 and 5 in October 2026.

## Changes in the filing (last 12 months)

### September 2026
- Regulatory assets under management went from $733,944,803 to $865,677,457 (+18%).

### April 2026
- Employees performing advisory functions went from 2 to 3.
- Regulatory assets under management went from $365,960,325 to $733,944,803 (+101%).

### February 2026
- Registered or notice-filed in IL.

### January 2026
- No longer registered or notice-filed in IL, TX.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. KKM Financial LLC (CRD 165136): Form ADV filing data as of October 2026.