DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
W••••• K••••• W••••• M•••••••••
Legal name W••••• • K••••• W••••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Mar 22, 2012 · 29 filings
SEC status approved since Oct 19, 1984
RAUM
$983M
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
64%
$628M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$164M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$983M as of Mar 27, 2026
Mar 22, 2012$255M then
HNW client RAUM$610M as of Mar 27, 2026
Mar 26, 2018$198M then
State-registered IARs (5.B.3)5 as of Mar 27, 2026
Mar 22, 20120 then
Employees (5.A)7 as of Mar 27, 2026
Mar 20, 20134 then
Private funds: no history
RAUM +16% over the last fiscal year+11% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $164MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 24derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.5MderivedHNW RAUM over HNW clients
- Average account
- $2.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 85%derivedof RAUM
- Institutional
- 27%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $317M, 38 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$610M62%
- Charitable organizations$263M27%
- Corporations and businesses$93.0M9.5%
- Individuals$17.3M1.8%
- Individual clients
- 50reported
- HNW clients
- 94reported
- Pension plan clients
- n/areported
- Charitable clients
- 10reported
- Accounts
- 479reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $317M for 38 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.64 fund_share=0.0 institutional_share=0.27 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• F• K••••• | South Bend, In | Mar 23, 2004 | 41 y | 0 |
| J•••• A••••• S•••••Certified Financial Planner | South Bend, In | Jul 2, 2019 | 10 y | 0 |
| D••••• W•••••• W•••••• | South Bend, In | Mar 2, 2021 | 13 y | 1 |
| B••••• W•••••• V••••• | South Bend, In | Apr 8, 2024 | 11 y | 0 |
| A••••• D••••• L••••Certified Financial Planner | South Bend, In | Sep 30, 2024 | 12 y | 1 |
| T••••• M•••••• W•••••Certified Financial Planner | South Bend, In | Feb 5, 2026 | 12 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- T••••• M•••••• W••••• from K•••••• F•••••••• G••••Feb 5, 2026 · RIA to RIA
- A••••• D••••• L•••• from C•••••• L••Sep 30, 2024 · RIA to RIA
- D••••• W•••••• W•••••• from C•••••• L••Mar 2, 2021 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• J••••• F• · President And Chief Compliance Officercontrolsince 12/2000 · owns less than 5%
- S•••••• J••••• A••••• · Ownersince 07/2021 · owns 25% to 50%
- W••••••• D•••••• W•••••• · Ownersince 03/2023 · owns 25% to 50%
- K•••••• J••••• F• · Ownersince 12/2000 · owns 75% or more of W••••• K••••• F•••••••• C•••••••••
Entity owners
- W••••• K••••• F•••••••• · Ownerdirect · owns 50% to 75%
- W••••• K••••• F•••••••• C••••••••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| South Bend, In · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 418 to 479Oct 17, 2025 to Mar 27, 2026
- Charity clients · 9 to 10Oct 17, 2025 to Mar 27, 2026
- Corporate clients · 6 to 4Oct 17, 2025 to Mar 27, 2026
- HNW clients · 107 to 94Oct 17, 2025 to Mar 27, 2026
- Individual clients · 31 to 50Oct 17, 2025 to Mar 27, 2026
- Assets in custody · $101M to $317MOct 17, 2025 to Mar 27, 2026
- Employees · 6 to 7Oct 17, 2025 to Mar 27, 2026
- Discretionary RAUM · $721M to $836MOct 17, 2025 to Mar 27, 2026
- HNW RAUM · $515M to $610MOct 17, 2025 to Mar 27, 2026
- Individual RAUM · $15.7M to $17.3MOct 17, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $124M to $148MOct 17, 2025 to Mar 27, 2026
- RAUM · $845M to $983MOct 17, 2025 to Mar 27, 2026
- Accounts · 383 to 418Feb 29, 2024 to Mar 17, 2025
- Advisory employees · 3 to 5Feb 29, 2024 to Mar 17, 2025
- Advisory activities · 3 to 4Feb 29, 2024 to Mar 17, 2025
- Charity clients · 7 to 9Feb 29, 2024 to Mar 17, 2025
- Corporate clients · 5 to 6Feb 29, 2024 to Mar 17, 2025
- HNW clients · 89 to 107Feb 29, 2024 to Mar 17, 2025
- Individual clients · 29 to 31Feb 29, 2024 to Mar 17, 2025
- Assets in custody · $94.7M to $101MFeb 29, 2024 to Mar 17, 2025
- Employees · 4 to 6Feb 29, 2024 to Mar 17, 2025
- Financial planning clients · 1-10 to 1-10Feb 29, 2024 to Mar 17, 2025
- State-registered IARs · 3 to 5Feb 29, 2024 to Mar 17, 2025
- Discretionary RAUM · $604M to $721MFeb 29, 2024 to Mar 17, 2025
- HNW RAUM · $480M to $515MFeb 29, 2024 to Mar 17, 2025
- Individual RAUM · $16.5M to $15.7MFeb 29, 2024 to Mar 17, 2025
- Non-discretionary RAUM · $163M to $124MFeb 29, 2024 to Mar 17, 2025
- RAUM · $767M to $845MFeb 29, 2024 to Mar 17, 2025
- Accounts · 324 to 383Nov 13, 2023 to Feb 29, 2024
- Advisory employees · 4 to 3Nov 13, 2023 to Feb 29, 2024
- HNW clients · 80 to 89Nov 13, 2023 to Feb 29, 2024
- Individual clients · 24 to 29Nov 13, 2023 to Feb 29, 2024
- Assets in custody · $63.2M to $94.7MNov 13, 2023 to Feb 29, 2024
- State-registered IARs · 4 to 3Nov 13, 2023 to Feb 29, 2024
- Discretionary RAUM · $569M to $604MNov 13, 2023 to Feb 29, 2024
- HNW RAUM · $455M to $480MNov 13, 2023 to Feb 29, 2024
- Individual RAUM · $11.2M to $16.5MNov 13, 2023 to Feb 29, 2024
- Non-discretionary RAUM · $148M to $163MNov 13, 2023 to Feb 29, 2024
- RAUM · $717M to $767MNov 13, 2023 to Feb 29, 2024
- Accounts · 297 to 324Mar 18, 2022 to Mar 17, 2023
Signals
3 dated events
- W••••• K••••• W••••• M••••••••• reported RAUM $771.2M, up 28% from $604.5M (2021-10-12 to 2022-03-18)Mar 18, 2022 · RAUM change · derived
- W••••• K••••• W••••• M••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jul 9, 2021 · Succession (Item 4) · fact
- W••••• K••••• W••••• M••••••••• reported RAUM $552.2M, up 53% from $360.7M (2019-05-30 to 2020-03-26)Mar 26, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- W••••• K••••• W••••• M••••••••• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business phone
- 574-232-5977reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/walter-keenan-wealth-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- walterandkeenan.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 574-287-5977reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- walterandkeenan.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $164Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026