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
K•••••• I••••••••• C••••••••• I••
Latest filing Apr 7, 2026
First filing on the tape Mar 16, 2012 · 33 filings
SEC status approved since Sep 19, 1983
RAUM
$383M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
67%
$258M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$192M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$383M as of Apr 7, 2026
Mar 30, 2012$162M then
HNW client RAUM$246M as of Apr 7, 2026
Mar 20, 2018$240M then
State-registered IARs (5.B.3)2 as of Apr 7, 2026
Mar 30, 20120 then
Employees (5.A)3 as of Apr 7, 2026
Jun 26, 20132 then
Private funds: no history
RAUM +12% over the last fiscal year+5.9% a year over threeIARs 3 to 2offices 0 to 1
Practice profile
derived from the filing of Apr 7, 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
- $192MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 75derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 7.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.4%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for investment companies, otherreportedItem 5.G
- Custody
- $214M, 12 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$246M64%
- Investment companies$96.9M25%
- Pension and profit-sharing plans$19.2M5.0%
- Individuals$12.2M3.2%
- Charitable organizations$8.4M2.2%
- Corporations and businesses$114,3220.0%
- Individual clients
- 65reported
- HNW clients
- 85reported
- Pension plan clients
- 2reported
- Charitable clients
- 3reported
- Accounts
- 366reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $214M for 12 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.67 fund_share=0.25 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• T••••• K••••••Chartered Financial Analyst | Delray Beach, Fl | Apr 12, 2017 | 19 y | 1 |
| P•••• C•••••••Chartered Financial Analyst | Delray Beach, Fl | Jan 6, 2025 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••••• A••• I••••• · Secretary/Treasurer/Office Managercontrolsince 09/2022 · owns less than 5%
- K••••••• R••••••• T••••• · Chief Compliance Officer/President/Portfolio Manager/Investment Analystcontrolsince 12/2018 · owns 75% or more
- A••••• U•••••• S•••••••• · Vice President/Portfolio Manager/R••••••• Analystsince 04/2021 · owns less than 5%
Related persons
Schedule D 7.A
- L•• R•••••••• L••investment adviseryRAUM $23.9M
Advisers that list K•••••• I••••••••• C••••••••• I•• as a related person
- 129915 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Delray Beach, Fl · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 369 to 366Dec 16, 2025 to Feb 24, 2026
- Charity clients · 2 to 3Dec 16, 2025 to Feb 24, 2026
- HNW clients · 82 to 85Dec 16, 2025 to Feb 24, 2026
- Individual clients · 66 to 65Dec 16, 2025 to Feb 24, 2026
- Assets in custody · $175M to $214MDec 16, 2025 to Feb 24, 2026
- Discretionary RAUM · $339M to $378MDec 16, 2025 to Feb 24, 2026
- HNW RAUM · $231M to $246MDec 16, 2025 to Feb 24, 2026
- Individual RAUM · $12.1M to $12.2MDec 16, 2025 to Feb 24, 2026
- Non-discretionary RAUM · $4.3M to $5.0MDec 16, 2025 to Feb 24, 2026
- Pension RAUM · $15.5M to $19.2MDec 16, 2025 to Feb 24, 2026
- RAUM · $343M to $383MDec 16, 2025 to Feb 24, 2026
- Advisory employees · 3 to 2Oct 27, 2025 to Dec 16, 2025
- Employees · 4 to 3Oct 27, 2025 to Dec 16, 2025
- State-registered IARs · 3 to 2Oct 27, 2025 to Dec 16, 2025
- Financial planning clients · 0 to 0Mar 20, 2025 to Oct 27, 2025
- Other offices · 0 to 1Mar 20, 2025 to Oct 27, 2025
- Individual clients · 61 to 66Dec 10, 2024 to Mar 20, 2025
- Assets in custody · $166M to $175MDec 10, 2024 to Mar 20, 2025
- Discretionary RAUM · $353M to $339MDec 10, 2024 to Mar 20, 2025
- HNW RAUM · $321M to $231MDec 10, 2024 to Mar 20, 2025
- Individual RAUM · $14.9M to $12.1MDec 10, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $4.3M to $4.3MDec 10, 2024 to Mar 20, 2025
- Pension RAUM · $15.0M to $15.5MDec 10, 2024 to Mar 20, 2025
- RAUM · $357M to $343MDec 10, 2024 to Mar 20, 2025
- Accounts · 357 to 369Dec 10, 2024 to Mar 20, 2025
- HNW clients · 86 to 82Dec 10, 2024 to Mar 20, 2025
- Accounts · 327 to 357Nov 30, 2023 to Mar 27, 2024
- Advisory activities · 2 to 3Nov 30, 2023 to Mar 27, 2024
- HNW clients · 82 to 86Nov 30, 2023 to Mar 27, 2024
- Individual clients · 54 to 61Nov 30, 2023 to Mar 27, 2024
- Assets in custody · $152M to $166MNov 30, 2023 to Mar 27, 2024
- Insurance-licensed employees · 0 to 1Nov 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $318M to $353MNov 30, 2023 to Mar 27, 2024
- HNW RAUM · $282M to $321MNov 30, 2023 to Mar 27, 2024
- Individual RAUM · $15.7M to $14.9MNov 30, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $4.4M to $4.3MNov 30, 2023 to Mar 27, 2024
- Pension RAUM · $17.8M to $15.0MNov 30, 2023 to Mar 27, 2024
- RAUM · $322M to $357MNov 30, 2023 to Mar 27, 2024
- Advisory employees · 2 to 3Sep 18, 2023 to Nov 30, 2023
- Employees · 3 to 4Sep 18, 2023 to Nov 30, 2023
Signals
4 dated events
- Isabel Ana Keating (Secretary/Treasurer/Office Manager) appeared on Schedule A of K•••••• I••••••••• C••••••••• I••Sep 23, 2022 · Control person joined · fact
- F Linda Sierra (Executive Vice President/Secretary) no longer on Schedule A of K•••••• I••••••••• C••••••••• I•• (listed 2022-03-25, absent 2022-09-23)Sep 23, 2022 · Control person left · inference
- Joseph Philip Keating (Chief Investment Officer/Senior Portfolio Manager) no longer on Schedule A of K•••••• I••••••••• C••••••••• I•• (listed 2020-06-22, absent 2021-03-23)Mar 23, 2021 · Control person left · inference
- J Jeanine Keating (President) no longer on Schedule A of K•••••• I••••••••• C••••••••• I•• (listed 2018-03-20, absent 2019-01-03)Jan 3, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 215-330-4476reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 561-278-7862reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- etfkeatinginvestment.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 561-278-7862reportedpublic record, Form ADV, Apr 7, 2026
- Contact form
- etfkeatinginvestment.com/contactreportedpublished 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
- $192Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026