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

Keatsconnelly

Former SEC-registered adviserPhoenix, ArizonaCRD 148884SEC 801-69866IAPD
Legal name Keats, Connelly And Associates, LLC
Latest filing May 22, 2020
First filing on the tape Nov 10, 2011 · 24 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$280M as of Mar 29, 2019
Jan 31, 2012$274M then
HNW client RAUM$0 as of Mar 27, 2020
Mar 29, 2018$301M then
State-registered IARs (5.B.3)1 as of Mar 27, 2020
Jan 31, 20120 then
Employees (5.A)2 as of Mar 27, 2020
Mar 12, 201339 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 15 to 1offices 1 to 0
Practice profile
derived from the filing of May 22, 2020; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$0derivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
-93%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, selection of other advisers, educational seminars, otherreportedItem 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
  • an independent public accountant performs a surprise examination (9.C.1)
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
15reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Robert Francis KeatsCertified Financial PlannerPhoenix, AzJan 4, 202243 y3
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
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
    • Francis Robert Keats · Ceo/Ccocontrol
      since 01/2020 · owns less than 5%
    • Francis Robert Keats · Presidentcontrol
      since 10/1990 · owns F of Keats Connelly And Associates Inc.
    Entity owners
    • Keats Connelly And Associates Inc. · Owner
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Advisers that list Keatsconnelly as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 306.0 to unset
      Mar 29, 2019 to Mar 27, 2020
    • Advisory employees · 15 to 1
      Mar 29, 2019 to Mar 27, 2020
    • Advisory activities · 3 to 4
      Mar 29, 2019 to Mar 27, 2020
    • Corporate clients · 0.0 to unset
      Mar 29, 2019 to Mar 27, 2020
    • HNW clients · 65 to 15
      Mar 29, 2019 to Mar 27, 2020
    • Individual clients · 35.0 to unset
      Mar 29, 2019 to Mar 27, 2020
    • Pension plan clients · 0.0 to unset
      Mar 29, 2019 to Mar 27, 2020
    • Pooled vehicle clients · 0.0 to unset
      Mar 29, 2019 to Mar 27, 2020
    • Assets in custody · 77024546.0 to unset
      Mar 29, 2019 to Mar 27, 2020
    • Custody of client assets · true to false
      Mar 29, 2019 to Mar 27, 2020
    • Employees · 26 to 2
      Mar 29, 2019 to Mar 27, 2020
    • Financial planning clients · 101-250 to 11-25
      Mar 29, 2019 to Mar 27, 2020
    • State-registered IARs · 15 to 1
      Mar 29, 2019 to Mar 27, 2020
    • Other offices · 1 to 0
      Mar 29, 2019 to Mar 27, 2020
    • Discretionary RAUM · 274675371.0 to unset
      Mar 29, 2019 to Mar 27, 2020
    • HNW RAUM · $258M to $0
      Mar 29, 2019 to Mar 27, 2020
    • Individual RAUM · 20005865.0 to unset
      Mar 29, 2019 to Mar 27, 2020
    • Non-discretionary RAUM · 4879417.0 to unset
      Mar 29, 2019 to Mar 27, 2020
    • RAUM · 279554788.0 to unset
      Mar 29, 2019 to Mar 27, 2020
    • Related adviser · true to false
      Mar 29, 2019 to Mar 27, 2020
    • Accounts · 365 to 306
      Aug 20, 2018 to Mar 29, 2019
    • HNW clients · 60 to 65
      Aug 20, 2018 to Mar 29, 2019
    • Individual clients · 43 to 35
      Aug 20, 2018 to Mar 29, 2019
    • Assets in custody · $102M to $77.0M
      Aug 20, 2018 to Mar 29, 2019
    • Employees · 24 to 26
      Aug 20, 2018 to Mar 29, 2019
    • Discretionary RAUM · $305M to $275M
      Aug 20, 2018 to Mar 29, 2019
    • HNW RAUM · $301M to $258M
      Aug 20, 2018 to Mar 29, 2019
    • Individual RAUM · $18.7M to $20.0M
      Aug 20, 2018 to Mar 29, 2019
    • Non-discretionary RAUM · $17.0M to $4.9M
      Aug 20, 2018 to Mar 29, 2019
    • RAUM · $322M to $280M
      Aug 20, 2018 to Mar 29, 2019
    • Related insurance company · true to false
      Mar 29, 2018 to Aug 20, 2018
    • Accounts · 389 to 365
      Jul 20, 2017 to Mar 29, 2018
    • Advisory employees · 14 to 15
      Jul 20, 2017 to Mar 29, 2018
    • Advisory activities · 4 to 3
      Jul 20, 2017 to Mar 29, 2018
    • Corporate clients · unset to 0.0
      Jul 20, 2017 to Mar 29, 2018
    • HNW clients · unset to 60.0
      Jul 20, 2017 to Mar 29, 2018
    • Individual clients · unset to 43.0
      Jul 20, 2017 to Mar 29, 2018
    • Pension plan clients · unset to 0.0
      Jul 20, 2017 to Mar 29, 2018
    • Pooled vehicle clients · unset to 0.0
      Jul 20, 2017 to Mar 29, 2018
    • Assets in custody · unset to 102258173.0
      Jul 20, 2017 to Mar 29, 2018
    Signals
    7 dated events
    • Keatsconnelly reported 1 state-registered advisory representatives, down from 15 (2019-03-29 to 2020-03-27)
      Mar 27, 2020 · Advisor headcount change · derived
    • Francis Robert Keats (Ceo/Cco) appeared on Schedule A of Keatsconnelly
      Mar 27, 2020 · Control person joined · fact
    • Ann Sally Taylor (Ceo) no longer on Schedule A of Keatsconnelly (listed 2019-03-29, absent 2020-03-27)
      Mar 27, 2020 · Control person left · inference
    • Edward John Rice (Cio) no longer on Schedule A of Keatsconnelly (listed 2019-03-29, absent 2020-03-27)
      Mar 27, 2020 · Control person left · inference
    • Elias Bryant Andrus (President) no longer on Schedule A of Keatsconnelly (listed 2018-08-20, absent 2019-03-29)
      Mar 29, 2019 · Control person left · inference
    • Harvey David Levine (Investment Advisor Represenatative) no longer on Schedule A of Keatsconnelly (listed 2018-08-20, absent 2019-03-29)
      Mar 29, 2019 · Control person left · inference
    • Keats, Connelly And Associates, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Nov 10, 2011 · Succession (Item 4) · fact
    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
    Website
    KEATSCONNELLY.COMreportedpublic record, Form ADV, Sep 17, 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
    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