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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

KEEN CAPITAL, LTD

CRD 145023

CHAPIN, SC

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:d3a7ecea-9949-2e37-ecf6-323f0ed36101

Data as of May 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 4
On other graphs: 0
Observed: Dec 24, 2021 to May 14, 2026
19 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: independent wealth managerderivedprivate_client_share=0.82 fund_share=0.0 institutional_share=0.18 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $180MItem 5.F on the latest filing (2026-05-14); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $178M
Private client RAUM: $147MderivedItem 5.D individuals plus high net worth individuals
Private client share: 82%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $44.9Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 12
Advisory employees: 4
Offices: 4Schedule D 1.F, beyond the principal office
Accounts: 352
Individual clients: 48
High net worth clients: 48
Custody, client assets: $134M
SEC number: 801-123128
CRD: 145023
Filings on the tape: 19
First filed: Dec 24, 2021
Latest filed: May 14, 2026
Organised: Corporation, SC
Website: keeninvestors.com

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
KATHERINE MARIE HOLLENBECK	Certified Financial Planner\|Chartered Financial Analyst	CHAPIN, SC	11	16	1	no
THOMAS ANTHONY GORE	Certified Financial Planner	CHAPIN, SC	2	26	1	no
Jeremiah David Barwick	n/a	CHAPIN, SC	1	10	n/a	no
TANNER RAY MERRITT	Certified Financial Planner	CHAPIN, SC \| JACKSONVILLE, FL	0	12	2	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
GORE, THOMAS, ANTHONY	CCO AND PRESIDENT	E	yes	08/2007	Dec 24, 2021	Jul 18, 2024
STOKES, KATHERINE, MARIE	CHIEF INVESTMENT OFFICER	Na	yes	01/2022	Mar 23, 2022	Jul 18, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Charlotte	Nc	United States	1	no
Greenville	Sc	United States	1	no

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; showing 5 of 7

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 20, 2026	$180M	$178M	11	3	4	n/a	n/a
2024	Mar 19, 2025	$161M	$159M	13	4	2	n/a	n/a
2023	Feb 15, 2024	$144M	$142M	11	3	2	n/a	n/a
2022	Feb 10, 2023	$126M	$124M	13	4	0	n/a	n/a
2021	Mar 23, 2022	$112M	$109M	5	4	0	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
1	0	1	0.0%	0	0	0	3	1

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
2025	$180M	$161M	11.4%	$126M	12.5%	12	13	4	2

Relationships

Registered with (5)

← TANNER RAY MERRITTAdvisorregistration: current employment
Apr 27, 2026 to presentfactForm ADV
← Jeremiah David BarwickAdvisorregistration: current employment
May 22, 2025 to presentfactForm ADV
← THOMAS ANTHONY GOREAdvisorregistration: current employment
Jul 3, 2024 to presentfactForm ADV
← KATHERINE MARIE HOLLENBECKAdvisorregistration: current employment
Apr 3, 2015 to presentfactForm ADV
← AUSTIN SCOTT FULMERAdvisorregistration: previous registration
Sep 30, 2024 to Jul 9, 2025factForm ADV

Controls (2)

← GORE, THOMAS, ANTHONYOwnerCCO AND PRESIDENT, ownership code E, individual
Dec 24, 2021 to Jul 18, 2024factForm ADV
← STOKES, KATHERINE, MARIEOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Mar 23, 2022 to Jul 18, 2024factForm ADV

Dated events

Occurred
Jul 9, 2025
Advisor changed firm
Austin Scott Fulmer left Keen Capital, Ltd for Axio Wealth Management, Inc. (registered 2025-07-22)
Form ADVobserved 4 days ago
Occurred
Jun 8, 2022
Succession filed (Item 4)
Keen Capital, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 4 days ago
Occurred
Mar 23, 2022
Control person joined
Marie Katherine Stokes (Chief Investment Officer) appeared on Schedule A of Keen Capital, Ltd
Form ADVobserved 4 days ago
Occurred
Dec 24, 2021
First Form ADV filing
Core Advisors, Ltd. filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d3a7ecea-9949-2e37-ecf6-323f0ed36101
First observed: Dec 24, 2021
Last observed: May 14, 2026 4 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.

KEEN CAPITAL, LTD

CRD 145023

CHAPIN, SC

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:d3a7ecea-9949-2e37-ecf6-323f0ed36101

Data as of May 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:12 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

KATHERINE MARIE HOLLENBECK

Certified Financial Planner|Chartered Financial Analyst

CHAPIN, SC

THOMAS ANTHONY GORE

Certified Financial Planner

CHAPIN, SC

Jeremiah David Barwick

n/a

CHAPIN, SC

n/a

TANNER RAY MERRITT

Certified Financial Planner

CHAPIN, SC | JACKSONVILLE, FL

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GORE, THOMAS, ANTHONY

CCO AND PRESIDENT

yes

08/2007

Dec 24, 2021

Jul 18, 2024

STOKES, KATHERINE, MARIE

CHIEF INVESTMENT OFFICER

yes

01/2022

Mar 23, 2022

Jul 18, 2024

City

State

Country

Employees

Also broker-dealer

Charlotte

United States

Greenville

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 20, 2026

$180M

$178M

n/a

2024

Mar 19, 2025

$161M

$159M

n/a

2023

Feb 15, 2024

$144M

$142M

n/a

2022

Feb 10, 2023

$126M

$124M

n/a

2021

Mar 23, 2022

$112M

$109M

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

2025

$180M

$161M

11.4%

$126M

12.5%