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Anthony Pozzi

Keating Financial Advisory Services
31 Years of Experience
Rockford, IL
View SEC Summary
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Anthony Pozzi is a registered investment advisor at Keating Financial Advisory Services, based in Rockford, IL, with 31 years of industry experience. Anthony operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Charitable Giving, Education Planning, Estate Planning, Financial Planning & Coaching, and 4 more. Their firm serves 5,285 clients with $1.5B in assets under management.

Keating Financial Advisory Services
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
25 advisors
Number of Clients
5,285 clients
Average Client Portfolio
$274K average
Assets Under Management
$1.5B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The annual program fee ranges from negotiable to 2.50% depending on the complexity of the account and the amount of assets.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

1639 N Alpine Road, Suite 103, Rockford, IL, 61107

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Anthony is a finance committee member for QCR Holdings, dedicating minimal time to attending meetings and voting on actions. He is also an advisor for Keating & Associates, but spends no time on this role.

Employment History
Current Registrations
Keating Financial Advisory Services
May 2025 - Present · 1 yr 5 mos
Previous Registrations
Raymond James Financial Services Advisors, INC
January 2009 - July 2025 · 16 yrs 6 mos
Raymond James Financial Services
July 2007 - January 2009 · 1 yr 6 mos
Raymond James Financial Services, INC.Broker
July 2007 - July 2025 · 18 yrs
Raymond James Financial Services
January 2003 - February 2007 · 4 yrs 1 mo
Raymond James Financial Services, INC.Broker
December 2002 - February 2007 · 4 yrs 2 mos
Lm Financial Partners, INC.
September 1997 - December 2002 · 5 yrs 3 mos
Lm Financial Partners, INC.Broker
July 1997 - December 2002 · 5 yrs 5 mos
Lasalle St Securities, L.L.C.Broker
January 1995 - August 1997 · 2 yrs 7 mos
State Registrations2 states
ILTX
Advisor

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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