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.

Former SEC-registered adviser

Keatley Wealth Management, LLC

Former SEC-registered adviserCharlotte, North CarolinaCRD 127980SEC 801-111711IAPD
Latest filing Mar 5, 2019
First filing on the tape Aug 18, 2017 · 5 filings
RAUM
$153M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$146M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$153M as of Mar 5, 2019
Mar 7, 2018$141M then
HNW client RAUM$124M as of Mar 5, 2019
Mar 7, 2018$118M then
State-registered IARs (5.B.3)4 as of Mar 5, 2019
Mar 7, 20183 then
Employees (5.A)5 as of Mar 5, 2019
Mar 7, 20184 then
Private funds: no history
RAUM +8.8% over the last fiscal yearIARs 3 to 4
Practice profile
derived from the filing of Mar 5, 2019; every figure names its basis
RAUM per advisor
$38.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
26derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.3MderivedHNW RAUM over HNW clients
Average account
$448,324derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+8.8%derivedbetween the last two annual amendments
Advisor growth, one year
+33%derivedItem 5.B.3 between annual amendments
Client growth, one year
+15%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$124M81%
  • Individuals$22.6M15%
  • Insurance companies$4.0M2.6%
  • Corporations and businesses$1.7M1.1%
  • Charitable organizations$957,6670.6%
Individual clients
48reported
HNW clients
54reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
341reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • R. Karen Keatley · President And Chief Investment Officercontrol
      since 06/2003 · owns 75% or more
    • Ingraham Jenny Martella · Chief Compliance Officer & Membercontrol
      since 02/2014 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 293 to 341
      Apr 30, 2018 to Mar 5, 2019
    • HNW clients · 48 to 54
      Apr 30, 2018 to Mar 5, 2019
    • Individual clients · 41 to 48
      Apr 30, 2018 to Mar 5, 2019
    • Assets in custody · $1.5M to $3.1M
      Apr 30, 2018 to Mar 5, 2019
    • Discretionary RAUM · $141M to $153M
      Apr 30, 2018 to Mar 5, 2019
    • HNW RAUM · $118M to $124M
      Apr 30, 2018 to Mar 5, 2019
    • Individual RAUM · $20.2M to $22.6M
      Apr 30, 2018 to Mar 5, 2019
    • RAUM · $141M to $153M
      Apr 30, 2018 to Mar 5, 2019
    • Advisory employees · 3 to 4
      Mar 7, 2018 to Apr 30, 2018
    • Assets in custody · unset to 1507075.0
      Mar 7, 2018 to Apr 30, 2018
    • Employees · 4 to 5
      Mar 7, 2018 to Apr 30, 2018
    • State-registered IARs · 3 to 4
      Mar 7, 2018 to Apr 30, 2018
    • State-registered IARs · 4 to 3
      Aug 23, 2017 to Mar 7, 2018
    • Accounts · 277 to 293
      Aug 23, 2017 to Mar 7, 2018
    • Advisory employees · 4 to 3
      Aug 23, 2017 to Mar 7, 2018
    • HNW clients · unset to 48.0
      Aug 23, 2017 to Mar 7, 2018
    • Individual clients · unset to 41.0
      Aug 23, 2017 to Mar 7, 2018
    • Employees · 5 to 4
      Aug 23, 2017 to Mar 7, 2018
    • Other offices · unset to 0.0
      Aug 23, 2017 to Mar 7, 2018
    • Discretionary RAUM · $129M to $141M
      Aug 23, 2017 to Mar 7, 2018
    • HNW RAUM · unset to 117894992.0
      Aug 23, 2017 to Mar 7, 2018
    • Individual RAUM · unset to 20232743.0
      Aug 23, 2017 to Mar 7, 2018
    • RAUM · $129M to $141M
      Aug 23, 2017 to Mar 7, 2018
    Signals
    1 dated events
    • Keatley Wealth Management, Llc filed its initial SEC registration (Form ADV)
      Aug 18, 2017 · First SEC registration · fact
    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