Ketron Financial LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$375,331,047
Clients
252
Advisors
3
of 5 employees
About
Ketron Financial LLC provides discretionary portfolio management, financial planning and estate transition planning to individuals (including high‑net‑worth clients), pension and profit‑sharing plans, and charitable organizations. The firm also offers selection of other advisers and has added ERISA plan services, providing both limited‑scope 3(21) advice and the ability to act as a 3(38) discretionary investment manager for retirement plans.
The firm documents client goals and risk tolerances in written Investment Policy Statements and uses fundamental analysis, modern portfolio theory and quantitative methods with a long‑term trading orientation. Portfolios may include mutual funds, ETFs (including precious‑metal ETFs), fixed income (including TIPS), equities, non‑U.S. securities and private placements; Ketron requires custody through Schwab Institutional and may direct assets to third‑party managers such as Morningstar’s managed portfolios.
Noteworthy features include managing about $384 million in discretionary assets with a three‑advisor team despite recent registration in 2024, and detailed disclosures of related‑party activities—some supervised persons are registered representatives of LPL Financial and one is a licensed insurance agent—which the firm identifies as potential conflicts and documents in client files. Ketron also discloses fee‑sharing arrangements with third‑party advisers, requires use of a specified custodian, and sets out ERISA‑specific procedures and excluded asset categories when serving as a plan fiduciary.
Client services
Expertise
Occupation focus
Fee options
Fixed fees up to $3,500 for Financial Planning & Estate Transition Planning services, negotiable.
$0+: Up to 1.30% annually for Portfolio Management $0+: Up to 0.25% annually for ERISA Plan Services
Registered representatives receive commissions for sale of securities and insurance products; however, commissions are not primary source of compensation and advisory fees are not offset by commissions.
Main office
1500 Grant Ave Ste 238
Novato CA 94945
Advisors at this office
3
Most active in
California · Louisiana · Nevada · Oregon · Texas · Washington
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.
Quick links
Advisors at this firm
Russell K
CFP®, Series 63, Series 65
Novato, CA
Ketron Financial LLC
Russell Ketron is a CFP® professional with 57 years of industry experience. He is the principal of Ketron Financial LLC, where he has worked since 2024. His prior experience includes roles at Western International Securities, Inc. and Protected Investors of America, spanning a combined 30 years. Ketron Financial LLC provides discretionary portfolio management, financial planning, and estate transition planning for individuals, pension and profit-sharing plans, and charitable organizations. The firm employs a long-term investment approach using fundamental analysis, modern portfolio theory, and quantitative methods, managing about $384 million in discretionary assets with a three-advisor team.
Glen C
Series 66
Novato, CA
Ketron Financial LLC
Glen Calkins is a financial advisor at Ketron Financial LLC with 28 years of industry experience. He holds the Series 66 designation and has previously worked at Western International Securities, Inc. and Protected Investors of America. Ketron Financial LLC provides discretionary portfolio management, financial planning, and estate transition planning to individuals, pension and profit-sharing plans, and charitable organizations. The firm uses fundamental analysis, modern portfolio theory, and quantitative methods with a long-term trading orientation, managing approximately $384 million in discretionary assets.
Courtenay W
Series 66
Novato, CA
Ketron Financial LLC
Courtenay Wise is a financial advisor with Ketron Financial LLC, holding a Series 66 designation and 10 years of industry experience. Wise previously worked at Western International Securities, Inc. and LPL Financial. In addition to advisory duties, Wise is a licensed notary and has experience in non-variable insurance. Ketron Financial LLC provides discretionary portfolio management, financial planning, and estate transition planning to individuals, pension and profit-sharing plans, and charitable organizations. The firm employs fundamental analysis, modern portfolio theory, and quantitative methods with a long-term trading orientation, managing approximately $384 million in discretionary assets.
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