KW
KW
Keith Ward
24 Years of Experience
Cos Cob, CT
4 DisclosuresBroker
Keith Ward is a registered investment advisor at Four Points Advisors, LLC, based in Cos Cob, CT, with 24 years of industry experience. Keith is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, High Net Worth, Insurance Planning, Investment Management, and 1 more. Their firm serves 98 clients with $40M in assets under management.
Compensation
Fee-Only (% of Portfolio)
Firm Size
13 advisors
Number of Clients
98 clients
Average Client Portfolio
$408K average
Assets Under Management
$40.0M
Fee Structure
Minimum Investment:$50K
Planning is included in investment management
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $2.0M | 1.75% |
| $2.0M - $5.0M | 1.25% |
| $5M+ | 1.25% |
Fees are negotiable and may be waived, reduced, or rebated in the firm's sole discretion. Fees are capped at the listed percentages.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
Cos Cob, CT
Get directionsHistory
Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
October 2011Settled
Customer Dispute
June 2011Settled
Customer Dispute
December 2008Settled
Customer Dispute
July 2006Denied
Employment History
Current Registrations
Four Points Advisors, LLC
June 2025 - Present · 1 yr 4 mos
Four Points Capital Partners LLCBroker
June 2025 - Present · 1 yr 4 mos
Four Points Capital Partners LLC
June 2025 - Present · 1 yr 4 mos
Previous Registrations
J.P. Morgan Securities LLCBroker
May 2021 - April 2025 · 3 yrs 11 mos
J.P. Morgan Securities LLC
May 2021 - April 2025 · 3 yrs 11 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2012 - May 2021 · 8 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2012 - May 2021 · 8 yrs 7 mos
Morgan StanleyBroker
June 2009 - October 2012 · 3 yrs 4 mos
Morgan Stanley
June 2009 - October 2012 · 3 yrs 4 mos
Morgan Stanley & CO. Incorporated
March 2008 - June 2009 · 1 yr 3 mos
Morgan Stanley & CO. IncorporatedBroker
March 2008 - June 2009 · 1 yr 3 mos
UBS Financial Services INC.
September 2002 - April 2008 · 5 yrs 7 mos
UBS Financial Services INC.Broker
June 2002 - April 2008 · 5 yrs 10 mos
State Registrations26 states
ARAZCACOCTDCDEFLGAIAILMAMDMINDNJNVNYOHPAPRRISDTNTXWY
AdvisorBrokerBoth
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.