BK
Brian W. Katz
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CRD#: 4650594
BK
Brian William Katz
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Brian William Katz was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2003. Brian had worked at 2 firms .
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Name: Ares Management Investment-related: Yes Address of the other business: 2000 Avenue of the Stars, 12th Floor, Los Angeles, CA 90067 Nature of the other business: Ares is an alternative investment manager Position: Member, RIA Advisory Council Title, or relationship with the other business: Member, RIA Advisory Council Start date of your relationship: 05/14/2025 Approximate number of hours/month you devote to the other business: 8 hours per year Number of hours you devote to the other business during securities trading hours: 8 hours per year Briefly describe your duties relating to the other business: Commit to 3 meetings per year to discuss product development, fund structures, and other things relating to the needs of the wealth management industry Name: The Massachusetts Service Alliance (MSA) Investment-related: Yes Address of the other business: 98 N Washington St, Suite 400, Boston, MA 02114 Nature of the other business: Massachusetts Service Alliance (MSA), a nonprofit founded in 1991, builds the organizational capacity of hundreds of Massachusetts nonprofits, schools, and agencies annually through funding, training, and resources centered on volunteerism and service. Position: Investment Committee Member Title, or relationship with the other business: Investment Committee Member Start date of your relationship: 02/26/2013 Approximate number of hours/month you devote to the other business: 4 hours per year Number of hours you devote to the other business during securities trading hours: 4 hours per year Briefly describe your duties relating to the other business: Oversee and manage the assets of an endowment – less than $2 million dollars; cash flow needs of endowment – discuss rebalancing portfolio; in charge of trading. Name: BlackRock Investment-related: Yes Address of the other business: 50 Hudson Yards, New York, NY 10001 Nature of the other business: Asset management Position: Member, RIA Advisory Council Title, or relationship with the other business: Member, RIA Advisory Council Start date of your relationship: 05/01/2016 Approximate number of hours/month you devote to the other business: .4 hours per week, or approximately 21 hours per year or 1.75 hours per month. Number of hours you devote to the other business during securities trading hours: .4 Briefly describe your duties relating to the other business: Members help advise Blackrock on potential new products and overall business strategy.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
January 3, 2012 - August 31, 2026
FOCUS PARTNERS WEALTH, LLC
RIA
CRD#: 159289
BOSTON, MA
Past
May 12, 2003 - December 21, 2011
THE COLONY GROUP, LLC
RIA
CRD#: 111806
BOSTON, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FOCUS PARTNERS WEALTH, LLC
ATLAS PRIVATE WEALTH MANAGEMENT | THE COLONY GROUP, LLC | THE COLONY GROUP OF MISSOURI, LLC | THE COLONY GROUP OF FLORIDA, LLC | NEIRG WEALTH MANAGEMENT | MID-CONTINENT CAPITAL | INTEROCEAN CAPITAL GROUP | HUNT VALLEY WEALTH | HOYLECOHEN | GYL FINANCIAL SYNERGIES | GW & WADE AT THE COLONY GROUP | GW & WADE | GRATUS CAPITAL | FOCUS PARTNERS WEALTH, LLC | D. K. BREDE INVESTMENT MANAGEMENT COMPANY, A FOCUS PARTNERS WEALTH COMPANY | D. K. BREDE INVESTMENT MANAGEMENT COMPANY | CONNECTUS PRIVATE | COLONY WEALTH MANAGEMENT, A DIVISION OF THE COLONY GROUP, LLC | COLONY INVESTMENT MANAGEMENT, A DIVISION OF THE COLONY GROUP, LLC | CHURCHILL MANAGEMENT GROUP | BUCKINGHAM STRATEGIC WEALTH
CRD#: 159289 / SEC#: 801-72862
RIA
Registered Investment Advisory firm - (12/7/2011 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
Current Firm
FOCUS PARTNERS WEALTH, LLC
ATLAS PRIVATE WEALTH MANAGEMENT | THE COLONY GROUP, LLC | THE COLONY GROUP OF MISSOURI, LLC | THE COLONY GROUP OF FLORIDA, LLC | NEIRG WEALTH MANAGEMENT | MID-CONTINENT CAPITAL | INTEROCEAN CAPITAL GROUP | HUNT VALLEY WEALTH | HOYLECOHEN | GYL FINANCIAL SYNERGIES | GW & WADE AT THE COLONY GROUP | GW & WADE | GRATUS CAPITAL | FOCUS PARTNERS WEALTH, LLC | D. K. BREDE INVESTMENT MANAGEMENT COMPANY, A FOCUS PARTNERS WEALTH COMPANY | D. K. BREDE INVESTMENT MANAGEMENT COMPANY | CONNECTUS PRIVATE | COLONY WEALTH MANAGEMENT, A DIVISION OF THE COLONY GROUP, LLC | COLONY INVESTMENT MANAGEMENT, A DIVISION OF THE COLONY GROUP, LLC | CHURCHILL MANAGEMENT GROUP | BUCKINGHAM STRATEGIC WEALTH
CRD#: 159289 / SEC#: 801-72862
RIA
Registered Investment Advisory firm - (12/7/2011 Approved)Loading...
Contact information
Main Address
190 Carondelet Plaza Suite 600, St. Louis, MO 63105
Mailing Address
Phone number
(314) 725-0455
Established
Firm type
Fiscal year end
# of Employees
1,915
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 220,585 |
| AUM (Assets Under Management) | $ 181,862,000,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2026 | ||
| 12/20/2024 | ||
| 07/26/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
