Kerns Legacy Planning
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Kerns Legacy Planning is an independent, single‑advisor firm that provides discretionary portfolio management and financial planning to individuals, high‑net‑worth individuals, and business entities. Services include developing tailored Investment Policy Statements, ongoing portfolio monitoring, asset allocation and asset selection, and referrals to third‑party advisers when appropriate.
The firm employs fundamental analysis, modern portfolio theory and technical analysis and implements both long‑term and short‑term trading across mutual funds, equities, fixed income, ETFs (including precious‑metal ETFs), TIPS and private placements. KLPL generally seeks discretionary authority for managed accounts, requires clients to use a designated custodian for discretionary accounts, and delivers quarterly custodian reports.
Compared with many peers, KLPL permits the use of borrowed funds (margin) in separately managed accounts and discloses that it calculates advisory fees only on the account’s net equity, excluding borrowed funds to address the fee conflict. It also uses investment vehicles and strategies that may involve derivatives (for example, ETFs or complex strategies), and manages a very small number of client relationships and AUM while not aggregating block trades for multiple clients.
Client services
Expertise
Fee options
Financial planning and consulting fixed fees range from $250 to $5,000; $250 flat fee for financial planning consultations; investment consultation fees are the greater of $250 per consultation or 1% of proposed principal trade value, capped at $5,000.
$1 - $999,999: 1.00% $1,000,000 - $1,999,999: 0.90% $2,000,000+: 0.80%
Main office
3509 E Shea Blvd, Ste 109
Phoenix AZ 85028
Advisors at this office
1
Most active in
Arizona
Also doing business as
Kerns Legacy Planning · Kerns Legacy Planning LLC
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Quick links
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