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

Keating Wealth Management, LLC

Former SEC-registered adviserDenver, ColoradoCRD 281406SEC 801-123156IAPD
Latest filing May 23, 2024
First filing on the tape Jan 4, 2022 · 12 filings
RAUM
$203M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$200M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$203M as of Jan 10, 2024
Jan 18, 2022$158M then
HNW client RAUM$196M as of Jan 10, 2024
Jan 18, 2022$153M then
State-registered IARs (5.B.3)2 as of Jan 10, 2024
Jan 18, 20222 then
Employees (5.A)2 as of Jan 10, 2024
Jan 18, 20222 then
Private funds: no history
RAUM +34% over the last fiscal yearIARs 2 to 1offices 1 to 0
Practice profile
derived from the filing of May 23, 2024; every figure names its basis
RAUM per advisor
$203MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
42derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$5.4MderivedHNW RAUM over HNW clients
Average account
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+34%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-2.3%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$9.9M, 6 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$196M97%
  • Individuals$4.0M2.0%
  • Pension and profit-sharing plans$2.8M1.4%
Individual clients
6reported
HNW clients
36reported
Pension plan clients
1reported
Charitable clients
0reported
Accounts
179reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
$9.9M for 6 clientsreported
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
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
    • John Timothy Keating · President And Chief Compliance Officercontrol
      since 03/2014 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Denver, Co · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Employees · 2 to 1
      Jan 10, 2024 to May 23, 2024
    • Insurance-licensed employees · 2 to 1
      Jan 10, 2024 to May 23, 2024
    • State-registered IARs · 2 to 1
      Jan 10, 2024 to May 23, 2024
    • Other offices · 1 to 0
      Jan 10, 2024 to May 23, 2024
    • Accounts · 167 to 179
      Sep 28, 2023 to Jan 10, 2024
    • HNW clients · 37 to 36
      Sep 28, 2023 to Jan 10, 2024
    • Assets in custody · $1.6M to $9.9M
      Sep 28, 2023 to Jan 10, 2024
    • Discretionary RAUM · $151M to $203M
      Sep 28, 2023 to Jan 10, 2024
    • HNW RAUM · $144M to $196M
      Sep 28, 2023 to Jan 10, 2024
    • Individual RAUM · $3.8M to $4.0M
      Sep 28, 2023 to Jan 10, 2024
    • Pension RAUM · $2.6M to $2.8M
      Sep 28, 2023 to Jan 10, 2024
    • RAUM · $151M to $203M
      Sep 28, 2023 to Jan 10, 2024
    • Advisory activities · 1 to 2
      Jun 29, 2023 to Sep 28, 2023
    • Assets in custody · unset to 1600000.0
      Jun 29, 2023 to Sep 28, 2023
    • Custody of client assets · false to true
      Jun 29, 2023 to Sep 28, 2023
    • Financial planning clients · unset to 26-50
      Jun 29, 2023 to Sep 28, 2023
    • HQ city · GREENWOOD VILLAGE to DENVER
      Apr 10, 2023 to Jun 29, 2023
    • Accounts · 143 to 167
      Feb 17, 2022 to Jan 17, 2023
    • Individual clients · 4 to 6
      Feb 17, 2022 to Jan 17, 2023
    • Discretionary RAUM · $158M to $151M
      Feb 17, 2022 to Jan 17, 2023
    • HNW RAUM · $153M to $144M
      Feb 17, 2022 to Jan 17, 2023
    • Individual RAUM · $1.9M to $3.8M
      Feb 17, 2022 to Jan 17, 2023
    • Pension RAUM · $3.0M to $2.6M
      Feb 17, 2022 to Jan 17, 2023
    • RAUM · $158M to $151M
      Feb 17, 2022 to Jan 17, 2023
    • Accounts · 136 to 143
      Jan 4, 2022 to Jan 18, 2022
    • Advisory activities · 2 to 1
      Jan 4, 2022 to Jan 18, 2022
    • HNW clients · 38 to 37
      Jan 4, 2022 to Jan 18, 2022
    • Individual clients · 2 to 4
      Jan 4, 2022 to Jan 18, 2022
    • Financial planning clients · 26-50 to unset
      Jan 4, 2022 to Jan 18, 2022
    • Discretionary RAUM · $102M to $158M
      Jan 4, 2022 to Jan 18, 2022
    • HNW RAUM · $97.7M to $153M
      Jan 4, 2022 to Jan 18, 2022
    • Individual RAUM · $1.4M to $1.9M
      Jan 4, 2022 to Jan 18, 2022
    • Pension RAUM · $2.9M to $3.0M
      Jan 4, 2022 to Jan 18, 2022
    • RAUM · $102M to $158M
      Jan 4, 2022 to Jan 18, 2022
    Signals
    4 dated events
    • Tabitha Ranae Aspling left Keating Wealth Management, Llc for Cerity Partners Llc (registered 2024-05-20)
      May 23, 2024 · Advisor changed firm · fact
    • Timothy John Keating left Keating Wealth Management, Llc for Cerity Partners Llc (registered 2024-05-16)
      May 23, 2024 · Advisor changed firm · fact
    • 2 advisors left Keating Wealth Management, LLC (Denver, CO) for Cerity Partners LLC on the same day
      May 23, 2024 · Team lift-out · derived
    • Keating Wealth Management, Llc filed its initial SEC registration (Form ADV)
      Jan 4, 2022 · 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