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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Former SEC-registered adviser
K•••• • D••••••
Legal name K•••• • A••••••••• I•••
Latest filing Mar 17, 2025
First filing on the tape Mar 28, 2012 · 29 filings
SEC status approved since Sep 19, 1994
RAUM
$202M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$180M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$202M as of Mar 17, 2025
Mar 28, 2012$296M then
HNW client RAUM$140M as of Mar 17, 2025
Mar 15, 2018$64.7M then
State-registered IARs (5.B.3)4 as of Mar 17, 2025
Feb 25, 20132 then
Employees (5.A)4 as of Mar 17, 2025
Feb 25, 20134 then
Private funds: no history
RAUM +17% over the last fiscal year+6.4% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 17, 2025; every figure names its basis
- RAUM per advisor
- $50.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $596,497derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 9.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$140M69%
- Individuals$40.0M20%
- Charitable organizations$19.5M9.6%
- Banks and thrifts$1.6M0.8%
- Corporations and businesses$1.0M0.5%
- Individual clients
- 120reported
- HNW clients
- 41reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 339reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- J••• H••• K•••• to C••• S••••• P•••••••Aug 1, 2025 · RIA to affiliated broker-dealer or bank
- M•••••• D•••••• to C••• S••••• P•••••••Aug 1, 2025 · RIA to affiliated broker-dealer or bank
- B•••• C• R••••••••• to T•••••• C••••••• L••Nov 20, 2012 · Other
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for C••• S••••• P•••••••Aug 1, 2025 · Fort Worth, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• M••••••• K• · Vice Presidentcontrolsince 01/2021 · owns less than 5%
- K••••• J•••• H••• · President, Chief Compliance Officer And Chief Investment Officercontrolsince 09/1994 · owns 75% or more
- K••••• L••••••• L•• · Directorsince 09/1994 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Fort Worth, Tx · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 317 to 339Dec 16, 2024 to Mar 17, 2025
- HNW clients · 38 to 41Dec 16, 2024 to Mar 17, 2025
- Individual clients · 112 to 120Dec 16, 2024 to Mar 17, 2025
- Financial planning clients · unset to Dec 16, 2024 to Mar 17, 2025
- Discretionary RAUM · $173M to $202MDec 16, 2024 to Mar 17, 2025
- HNW RAUM · $124M to $140MDec 16, 2024 to Mar 17, 2025
- Individual RAUM · $35.8M to $40.0MDec 16, 2024 to Mar 17, 2025
- RAUM · $173M to $202MDec 16, 2024 to Mar 17, 2025
- Accounts · 318 to 317Mar 29, 2023 to Mar 27, 2024
- HNW clients · 37 to 38Mar 29, 2023 to Mar 27, 2024
- Discretionary RAUM · $163M to $173MMar 29, 2023 to Mar 27, 2024
- HNW RAUM · $117M to $124MMar 29, 2023 to Mar 27, 2024
- Individual RAUM · $32.6M to $35.8MMar 29, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $447,983 to $0Mar 29, 2023 to Mar 27, 2024
- RAUM · $163M to $173MMar 29, 2023 to Mar 27, 2024
- Accounts · 310 to 318Nov 2, 2022 to Mar 14, 2023
- Advisory activities · 3 to 2Nov 2, 2022 to Mar 14, 2023
- Individual clients · 114 to 112Nov 2, 2022 to Mar 14, 2023
- Financial planning clients · 1-10 to unsetNov 2, 2022 to Mar 14, 2023
- Discretionary RAUM · $166M to $163MNov 2, 2022 to Mar 14, 2023
- HNW RAUM · $130M to $117MNov 2, 2022 to Mar 14, 2023
- Individual RAUM · $34.7M to $32.6MNov 2, 2022 to Mar 14, 2023
- Non-discretionary RAUM · $1.5M to $447,983Nov 2, 2022 to Mar 14, 2023
- RAUM · $168M to $163MNov 2, 2022 to Mar 14, 2023
- Accounts · 278 to 310Oct 26, 2021 to Mar 14, 2022
- HNW clients · 35 to 37Oct 26, 2021 to Mar 14, 2022
- Individual clients · 100 to 114Oct 26, 2021 to Mar 14, 2022
- Employees · 5 to 4Oct 26, 2021 to Mar 14, 2022
- Discretionary RAUM · $124M to $166MOct 26, 2021 to Mar 14, 2022
- HNW RAUM · $93.1M to $130MOct 26, 2021 to Mar 14, 2022
- Individual RAUM · $29.0M to $34.7MOct 26, 2021 to Mar 14, 2022
- Non-discretionary RAUM · $586,826 to $1.5MOct 26, 2021 to Mar 14, 2022
- RAUM · $124M to $168MOct 26, 2021 to Mar 14, 2022
- Business name · KEENE & ASSOCIATES, INC. to KEENE & DORCHAKJan 28, 2021 to Jan 29, 2021
- Accounts · 276 to 278Oct 26, 2020 to Jan 28, 2021
- HNW clients · 34 to 35Oct 26, 2020 to Jan 28, 2021
- Individual clients · 96 to 100Oct 26, 2020 to Jan 28, 2021
- Discretionary RAUM · $95.3M to $124MOct 26, 2020 to Jan 28, 2021
- HNW RAUM · $70.3M to $93.1MOct 26, 2020 to Jan 28, 2021
- Individual RAUM · $22.2M to $29.0MOct 26, 2020 to Jan 28, 2021
Signals
6 dated events
- Keene & Dorchak no longer on the SEC adviser roster (last listed 2025-08-01, RAUM $202.2M)Sep 2, 2025 · Left the SEC roster · derived
- Matthew Dorchak left Keene & Dorchak for Cary Street Partners (registered 2025-04-15)Aug 1, 2025 · Advisor changed firm · fact
- John Hart Keene left Keene & Dorchak for Cary Street Partners (registered 2025-04-15)Aug 1, 2025 · Advisor changed firm · fact
- 2 advisors left Keene & Dorchak (Fort Worth, TX) for Cary Street Partners on the same dayAug 1, 2025 · Team lift-out · derived
- K. Matthew Dorchak (Vice President) appeared on Schedule A of Keene & DorchakJan 28, 2021 · Control person joined · fact
- Keene & Dorchak reported RAUM $95.5M, down 76% from $391.8M (2019-03-27 to 2020-03-23)Mar 23, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026