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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)13 years in industry

Katie Keppler

Advisor at TITLEIST ASSET MANAGEMENT, LLC

Dallas, TX | SAN ANTONIO, TX

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Search this name across graphsid dfx:ria:55fc71f2-0196-ab92-70b6-9783e611ada6

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Dec 2, 2014 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: TITLEIST ASSET MANAGEMENT, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 6, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66
First exam: Sep 6, 2013
First registration: Dec 2, 2014
Dual registered: yes, broker-dealer
Other names: KATIE E O'BRIEN|KATIE E OBRIEN|Katie O Keppler
IAPD individual key: 6158525

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
TITLEIST ASSET MANAGEMENT, LLC	Independent wealth	Feb 18, 2025	n/a	yes	Dallas, TX\|SAN ANTONIO, TX	Current employment
WEALTH MANAGEMENT ADVISORS, LLC	Independent wealth	May 3, 2024	Nov 25, 2024	no	GREENVILLE, SC	Previous registration
INDEPENDENT ADVISOR ALLIANCE, LLC	Independent wealth	Jul 18, 2023	Apr 24, 2024	no	DALLAS, TX	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Dec 2, 2014	May 22, 2023	no	DENVER, CO\|DENVER, CO\|DALLAS, TX\|DALLAS, TX\|NEW YORK, NY\|DALLAS, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WEALTH MANAGEMENT ADVISORS, LLC	TITLEIST ASSET MANAGEMENT, LLC	Nov 25, 2024	Feb 18, 2025	85	Firm change	RIA to RIA
INDEPENDENT ADVISOR ALLIANCE, LLC	WEALTH MANAGEMENT ADVISORS, LLC	Apr 24, 2024	May 3, 2024	9	Firm change	RIA to RIA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	INDEPENDENT ADVISOR ALLIANCE, LLC	May 22, 2023	Jul 18, 2023	57	Firm change	Wirehouse to RIA

Relationships

Registered with (4)

→ TITLEIST ASSET MANAGEMENT, LLCRegistered adviserregistration: current employment
Feb 18, 2025 to presentfactForm ADV
→ WEALTH MANAGEMENT ADVISORS, LLCRegistered adviserregistration: previous registration
May 3, 2024 to Nov 25, 2024factForm ADV
→ INDEPENDENT ADVISOR ALLIANCE, LLCRegistered adviserregistration: previous registration
Jul 18, 2023 to Apr 24, 2024factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Dec 2, 2014 to May 22, 2023factForm ADV

Dated events

Occurred
Nov 25, 2024
Advisor changed firm
Katie Keppler left Wealth Management Advisors, Llc for Titleist Asset Management, Llc (registered 2025-02-18)
Form ADVobserved 5 days ago
Occurred
Apr 24, 2024
Advisor changed firm
Katie Keppler left Independent Advisor Alliance, Llc for Wealth Management Advisors, Llc (registered 2024-05-03)
Form ADVobserved 5 days ago
Occurred
May 22, 2023
Advisor changed firm
Katie Keppler left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Independent Advisor Alliance, Llc (registered 2023-07-18)
Form ADVobserved 5 days ago