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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

KEATSCONNELLY

KEATS, CONNELLY AND ASSOCIATES, LLC, CRD 148884

PHOENIX, AZ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:6d155e08-1f8e-b98b-6a55-6d0ae138e69c

Data as of May 22, 2020 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 7
On other graphs: 0
Observed: Nov 10, 2011 to May 22, 2020
24 observations

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 1
Employees: 2
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
High net worth clients: 15
SEC number: 801-69866
CRD: 148884
Filings on the tape: 24
First filed: Nov 10, 2011
Latest filed: May 22, 2020
Organised: Limited Liability Company, Delaware

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
ROBERT FRANCIS KEATS	Certified Financial Planner	Phoenix, AZ	4	43	3	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
KEATS CONNELLY AND ASSOCIATES INC.	Owner	E	yes	10/2008	Nov 10, 2011	May 22, 2020
KEATS, ROBERT, FRANCIS	President	F	yes	10/1990	Mar 27, 2020	May 22, 2020
KEATS, ROBERT, FRANCIS	CEO/CCO	Na	yes	01/2020	Mar 27, 2020	May 22, 2020

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Mar 27, 2020	n/a	n/a	2	1	0	n/a	n/a
2018	Mar 29, 2019	$280M	$275M	26	15	1	n/a	n/a
2017	Mar 29, 2018	$322M	$305M	24	15	1	n/a	n/a
2016	Mar 29, 2017	$305M	$293M	39	14	n/a	n/a	n/a
2015	Mar 29, 2016	$296M	$282M	39	16	n/a	n/a	n/a
2014	Mar 26, 2015	$325M	$310M	40	16	n/a	n/a	n/a
2013	Mar 31, 2014	$375M	$358M	39	17	n/a	n/a	n/a
2012	Mar 12, 2013	$284M	$275M	39	16	n/a	n/a	n/a
2011	Jan 31, 2012	$274M	$261M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	n/a	$280M	n/a	$305M	n/a	2	26	0	1

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CARDINAL POINT WEALTH MANAGEMENT, LLC	4	Jan 31, 2020	Aug 10, 2020	PHOENIX, AZ	Firm absorbed	RIA to RIA	80.0%

Relationships

Registered with (13)

← ROBERT FRANCIS KEATSAdvisorregistration: previous registration
Feb 13, 2009 to Dec 31, 2020factForm ADV
← JOHN BRADFORD FLECKEAdvisorregistration: previous registration
Jul 16, 2018 to Jan 31, 2020factForm ADV
← PETER JOHN HENRYAdvisorregistration: previous registration
Sep 6, 2017 to Jan 31, 2020factForm ADV
← SALLY ANN TAYLORAdvisorregistration: previous registration
Feb 13, 2009 to Jan 31, 2020factForm ADV
← Michael Anthony HinterlongAdvisorregistration: previous registration
Jan 3, 2017 to Jan 31, 2020factForm ADV
← MATTHEW PAUL LUCASAdvisorregistration: previous registration
Jun 19, 2015 to Jan 23, 2020factForm ADV
← NATHANIEL GJERMUND GEHRINGAdvisorregistration: previous registration
Nov 21, 2014 to Jul 1, 2019factForm ADV
← Darin Glen TuttleAdvisorregistration: previous registration
Aug 23, 2017 to Jul 9, 2018factForm ADV
← BRYANT ELIAS ANDRUSAdvisorregistration: previous registration
Feb 27, 2009 to Jun 28, 2018factForm ADV
← Brad Lee ReichertAdvisorregistration: previous registration
Nov 19, 2013 to Nov 6, 2017factForm ADV
← TREVOR DARRELL MOOREAdvisorregistration: previous registration
Feb 20, 2015 to Jun 20, 2017factForm ADV
← PETER EICKELBERGAdvisorregistration: previous registration
Feb 13, 2009 to Mar 25, 2014factForm ADV
← DALE ANDREW PHILLIPSAdvisorregistration: previous registration
Apr 9, 2009 to Mar 25, 2014factForm ADV

Controls (2)

← KEATS CONNELLY AND ASSOCIATES INC.OwnerOWNER, ownership code E, domestic entity
Nov 10, 2011 to presentfactForm ADV
← KEATS, ROBERT, FRANCISOwnerPRESIDENT, ownership code F, individual
Mar 27, 2020 to presentfactForm ADV

Affiliated with (1)

← CROSS BORDER PLANNING PARTNERS, LLCRegistered adviserother investment adviser, control, common control
factForm ADV

Moved with (1)

→ CARDINAL POINT WEALTH MANAGEMENT, LLCRegistered adviser3 advisors, firm absorbed, same day
Jan 31, 2020 to Mar 11, 2020factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Mar 27, 2020
Control person joined
Francis Robert Keats (Ceo/Cco) appeared on Schedule A of Keatsconnelly
Form ADVobserved 5 days ago
Occurred
Mar 27, 2020
Control person left
Ann Sally Taylor (Ceo) no longer on Schedule A of Keatsconnelly (listed 2019-03-29, absent 2020-03-27)
Form ADVobserved 5 days ago
Occurred
Mar 27, 2020
Control person left
Edward John Rice (Cio) no longer on Schedule A of Keatsconnelly (listed 2019-03-29, absent 2020-03-27)
Form ADVobserved 5 days ago
Occurred
Mar 29, 2019
Control person left
Elias Bryant Andrus (President) no longer on Schedule A of Keatsconnelly (listed 2018-08-20, absent 2019-03-29)
Form ADVobserved 5 days ago
Occurred
Mar 29, 2019
Control person left
Harvey David Levine (Investment Advisor Represenatative) no longer on Schedule A of Keatsconnelly (listed 2018-08-20, absent 2019-03-29)
Form ADVobserved 5 days ago
Occurred
Nov 10, 2011
Succession filed (Item 4)
Keats, Connelly And Associates, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 5 days ago

Show 1 bookkeeping events

Occurred
Mar 27, 2020
Keatsconnelly reported 1 state-registered advisory representatives, down from 15 (2019-03-29 to 2020-03-27)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6d155e08-1f8e-b98b-6a55-6d0ae138e69c
First observed: Nov 10, 2011
Last observed: May 22, 2020 77 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

KEATSCONNELLY

KEATS, CONNELLY AND ASSOCIATES, LLC, CRD 148884

PHOENIX, AZ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:6d155e08-1f8e-b98b-6a55-6d0ae138e69c

Data as of May 22, 2020 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:16 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

ROBERT FRANCIS KEATS

Certified Financial Planner

Phoenix, AZ

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

KEATS CONNELLY AND ASSOCIATES INC.

Owner

yes

10/2008

Nov 10, 2011

May 22, 2020

KEATS, ROBERT, FRANCIS

President

yes

10/1990

Mar 27, 2020

May 22, 2020

KEATS, ROBERT, FRANCIS

CEO/CCO

yes

01/2020

Mar 27, 2020

May 22, 2020

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 27, 2020

n/a

2018

Mar 29, 2019

$280M

$275M

n/a

2017

Mar 29, 2018

$322M

$305M

n/a

2016

Mar 29, 2017

$305M

$293M

n/a

2015

Mar 29, 2016

$296M

$282M

n/a

2014

Mar 26, 2015

$325M

$310M

n/a

2013

Mar 31, 2014

$375M

$358M

n/a

2012

Mar 12, 2013

$284M

$275M

n/a

2011

Jan 31, 2012

$274M

$261M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

n/a

$280M

n/a

$305M

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CARDINAL POINT WEALTH MANAGEMENT, LLC

Jan 31, 2020

Aug 10, 2020

PHOENIX, AZ

Firm absorbed

RIA to RIA

80.0%