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

Keel Point Advisors, LLC

Former SEC-registered adviserVienna, VirginiaCRD 139379SEC 801-66114IAPD
Latest filing Apr 24, 2014
First filing on the tape Mar 30, 2012 · 8 filings
RAUM
$1.0B
reported, Item 5.F
Discretionary
49%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
30
19 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$68.9M gross assets
History
8 filings and snapshots on the tape
RAUM$1.0B as of Mar 28, 2014
Mar 30, 2012$763M then
HNW client RAUM: no history
State-registered IARs (5.B.3)19 as of Mar 28, 2014
Mar 27, 201316 then
Employees (5.A)30 as of Mar 28, 2014
Mar 27, 201330 then
Private funds3 as of Mar 28, 2014
Mar 30, 20126 then
RAUM +18% over the last fiscal yearIARs 16 to 19
Practice profile
derived from the filing of Apr 24, 2014; every figure names its basis
RAUM per advisor
$53.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
49%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
9.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+18%derivedbetween the last two annual amendments
Advisor growth, one year
+19%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, performance-based, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$114M, 25 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
785reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$114M for 25 clientsreported
Compensation
% of AUM, fixed, hourly, performance, commissionsreported
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
Every departureEvery arrival
Private funds
2 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
Distressed Asset Holdings, LLCPrivate Equity Fund$1.8M16Mar 30, 2012
Keel Point Sidecar Fund, LLCPrivate Equity Fund$19,12612Mar 30, 2012
Owners and control persons
Schedule A and B, latest filing
  • Joseph Christopher Cook · Chief Compliance Officercontrol
    since 11/2012 · owns less than 5%
  • Melville David Parks · Ceo Presidentcontrol
    since 01/2006 · owns less than 5%
  • Lynn Steven Skancke · Chief Investment Officercontrol
    since 04/2007 · owns less than 5%
  • Kun Yea · Chief Financial Officercontrol
    since 05/2011 · owns less than 5%
Entity owners
  • Keel Point, LLC · Sole Member
    direct · owns 75% or more
Related persons
Schedule D 7.A
  • Bluearc Credit Opportunities Fund Management, LLC
    pooled vehicle sponsory
  • Bluearc Global Macro Fund Management, LLC
    pooled vehicle sponsory
  • Ejf Select Fund Gp LLC
    pooled vehicle sponsory
  • Keel Point Private Capital, LLC
    pooled vehicle sponsorn
  • The 144a Fund Gp., LLC
    pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
  • Atlanta, GA
What changed
consecutive filings, newest first
  • Accounts · 576 to 785
    Mar 27, 2013 to Mar 28, 2014
  • Advisory employees · 17 to 19
    Mar 27, 2013 to Mar 28, 2014
  • Assets in custody · $148M to $114M
    Mar 27, 2013 to Mar 28, 2014
  • State-registered IARs · 16 to 19
    Mar 27, 2013 to Mar 28, 2014
  • Private funds · 5 to 3
    Mar 27, 2013 to Mar 28, 2014
  • Discretionary RAUM · $396M to $494M
    Mar 27, 2013 to Mar 28, 2014
  • Non-discretionary RAUM · $464M to $520M
    Mar 27, 2013 to Mar 28, 2014
  • RAUM · $860M to $1.0B
    Mar 27, 2013 to Mar 28, 2014
  • Accounts · 522 to 576
    Jan 16, 2013 to Mar 27, 2013
  • Assets in custody · $110M to $148M
    Jan 16, 2013 to Mar 27, 2013
  • State-registered IARs · 5 to 16
    Jan 16, 2013 to Mar 27, 2013
  • Private funds · 6 to 5
    Jan 16, 2013 to Mar 27, 2013
  • Discretionary RAUM · $314M to $396M
    Jan 16, 2013 to Mar 27, 2013
  • Non-discretionary RAUM · $449M to $464M
    Jan 16, 2013 to Mar 27, 2013
  • RAUM · $763M to $860M
    Jan 16, 2013 to Mar 27, 2013
  • Advisory employees · unset to 17.0
    Aug 14, 2012 to Jan 16, 2013
  • BD registered reps · unset to 12.0
    Aug 14, 2012 to Jan 16, 2013
  • Employees · unset to 30.0
    Aug 14, 2012 to Jan 16, 2013
  • State-registered IARs · unset to 5.0
    Aug 14, 2012 to Jan 16, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
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