SourcingSourcing

KEYNOTE FINANCIAL SERVICES, LLC

C38
CRD 130384·SEC 801-126600·VERNON, CT
AUM
$227.4M
$100M-$500M
Est. Revenue
$2.3M
@ 1% on AUM
Est. EBITDA
$682K
@ 30% margin
Est. Deal Value
$5.5M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
KEYNOTE FINANCIAL SERVICES, LLC
CRD
130384
SEC file #
801-126600
EIN
993366541
DBA names
—

Economics

AUM
$227.4M
AUM band
$100M-$500M
AUM trajectory
'23'26
$132.0M → $227.4M▲ +72%
Client mix
Individuals Other125
Individuals High Net Worth73
Pension Profit Sharing Plans6
Charitable Organizations4
Corporations1

Operations

Employees (total)
2
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'23'26
2 advisors → 2 advisors▬ 0%
Primary office
VERNON CT
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businesses
Fee basis
% of AUMHourly charges

Filings

Latest ADV filing
03/11/2026
ADV-W filed at
—
Website
keynotefs.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
ZAHNER, KENT, DAVID
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
ZAHNER, KENT, DAVID
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
KEYNOTEFS.COM
Rdap Domain Creation Date
2025-10-03T12:38:46Z
Rdap Firm Age Years
1
Rdap Firm Age Band
<5y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0002026127
Edgar Registered
Yes
Edgar Filing Count
11
Edgar First Filing Date
2024-06-13
Edgar Last Filing Date
2026-05-13
Edgar 13f Count
9
Edgar 13f Latest AUM Estimate
Filing Date2026-05-13
Accession0002026127-26-000002

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.2378
Soi Zip Pct 200k Plus
0.0449
Soi Zip Returns 200k Plus
720
Soi Zip Total AGI
1,186,797
Fdic Zip Total Deposits
29,677,193,000
Fdic Zip Branch Count
360
Fdic Zip Top Banks
Bank of America, National Association
United Bank

Compliance & brand

Firm Registration Status
active

All other collected signals (27)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
2
Bc Firm IAR Count
2
Custodian Candidates
Full
Charles Schwab6
E*trade4
Edgar Addresses
Mailing
7 KEYNOTE DRIVE, SUITE DVERNON, CT 06066
Business
7 KEYNOTE DRIVE, SUITE DVERNON, CT 06066
Edgar EIN
993366541
Edgar Recent Filings
13F-HR2026-05-13 · 0002026127-26-000002
13F-HR2026-02-13 · 0002026127-26-000001
Fdic Zip Branches Raw
Fleet Bank, National AssociationRockville, CT
The Savings Bank of ManchesterVernon, CT
Fdic Zip HHI
866.83
Fdic Zip Top Bank Share Pct
15.76
Fdic Zip Year
2025
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2026-10-03T12:38:46Z
Rdap Domain Last Changed
2025-10-03T12:38:46Z
Rdap Nameservers
Ns69.domaincontrol.comNs70.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI46,283
Returns3,640
Stub 2
AGI139,721
Returns3,740
Stub 3
AGI179,567
Returns2,910
Soi Zip Total Business Income
28,325
Soi Zip Total Cap Gains
22,632
Soi Zip Total Dividends
20,031
Soi Zip Total Returns
16,020
Top Owner CRD
4757223
Trust Company Affiliate
No

People (2)

2
ZAHNER, KENT, DAVID
IAR · Direct Owner · 87.5%
4757223
James Matthew Desrocher
IAR
5401752