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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

KEATLEY WEALTH MANAGEMENT, LLC

CRD 127980

CHARLOTTE, NC

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:c2fc8954-1cff-4968-65f7-b17ccdedd4fd

Data as of Mar 5, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Aug 18, 2017 to Mar 5, 2019
5 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
Regulatory AUM: $153MItem 5.F on the latest filing (2019-03-05); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $153M
Private client RAUM: $146MderivedItem 5.D individuals plus high net worth individuals
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 341
Individual clients: 48
High net worth clients: 54
Custody, client assets: $3.1M
SEC number: 801-111711
CRD: 127980
Filings on the tape: 5
First filed: Aug 18, 2017
Latest filed: Mar 5, 2019
Organised: Limited Liability Company, North Carolina

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
KEATLEY, KAREN, R.	PRESIDENT AND CHIEF INVESTMENT OFFICER	E	yes	06/2003	Aug 18, 2017	Mar 5, 2019
MARTELLA, JENNY, INGRAHAM	CHIEF COMPLIANCE OFFICER & MEMBER	B	yes	02/2014	Aug 18, 2017	Mar 5, 2019

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
2018	Mar 5, 2019	$153M	$153M	5	4	0	n/a	n/a
2017	Mar 7, 2018	$141M	$141M	4	3	0	n/a	n/a

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
2018	$153M	$141M	8.8%	n/a	n/a	5	4	0	0

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
MODERA WEALTH MANAGEMENT, LLC	2	Dec 31, 2019	Jan 2, 2020	CHARLOTTE, NC	Team lift out	RIA to RIA	100.0%

Relationships

Controls (2)

← KEATLEY, KAREN, R.OwnerPRESIDENT AND CHIEF INVESTMENT OFFICER, ownership code E, individual
Aug 18, 2017 to presentfactForm ADV
← MARTELLA, JENNY, INGRAHAMOwnerCHIEF COMPLIANCE OFFICER & MEMBER, ownership code B, individual
Aug 18, 2017 to presentfactForm ADV

Moved with (1)

→ MODERA WEALTH MANAGEMENT, LLCRegistered adviser2 advisors, team lift out, same day
Dec 31, 2019 to Jan 2, 2020factForm ADV

Registered with (3)

← MELISSA J BOYERAdvisorregistration: previous registration
May 1, 2018 to Dec 31, 2019factForm ADV
← ERICA JANE YOUNTAdvisorregistration: previous registration
Aug 4, 2017 to Dec 31, 2019factForm ADV
← ASHLEY ELIZABETH MORRISAdvisorregistration: previous registration
Nov 8, 2016 to Oct 9, 2017factForm ADV

Dated events

Occurred
Aug 18, 2017
First Form ADV filing
Keatley Wealth Management, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c2fc8954-1cff-4968-65f7-b17ccdedd4fd
First observed: Aug 18, 2017
Last observed: Mar 5, 2019 91 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.

KEATLEY WEALTH MANAGEMENT, LLC

CRD 127980

CHARLOTTE, NC

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:c2fc8954-1cff-4968-65f7-b17ccdedd4fd

Data as of Mar 5, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:28 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

KEATLEY, KAREN, R.

PRESIDENT AND CHIEF INVESTMENT OFFICER

yes

06/2003

Aug 18, 2017

Mar 5, 2019

MARTELLA, JENNY, INGRAHAM

CHIEF COMPLIANCE OFFICER & MEMBER

yes

02/2014

Aug 18, 2017

Mar 5, 2019

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 5, 2019

$153M

n/a

2017

Mar 7, 2018

$141M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$153M

$141M

8.8%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MODERA WEALTH MANAGEMENT, LLC

Dec 31, 2019

Jan 2, 2020

CHARLOTTE, NC

Team lift out

RIA to RIA

100.0%