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.
SEC-registered adviser
Keebeck Wealth Management
Legal name Keebeck Partners, LLC
Latest filing Mar 30, 2026
First filing on the tape Jun 7, 2018 · 23 filings
SEC status approved since Jul 6, 2018
RAUM
$2.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$1.8B individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$406M
derived; firm RAUM over IAPD count
Employees
9
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$2.0B as of Mar 30, 2026
Mar 19, 2019$888M then
HNW client RAUM$1.8B as of Mar 30, 2026
Mar 19, 2019$594M then
State-registered IARs (5.B.3)4 as of Mar 30, 2026
Mar 19, 20195 then
Employees (5.A)9 as of Mar 30, 2026
Mar 19, 20199 then
Private funds: no history
RAUM +25% over the last fiscal year+9.3% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 30, 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
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $406MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $12.2MderivedHNW RAUM over HNW clients
- Average account
- $2.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $780M, 116 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$1.8B88%
- Pension and profit-sharing plans$204M10%
- Corporations and businesses$17.5M0.9%
- Charitable organizations$12.3M0.6%
- Individual clients
- n/areported
- HNW clients
- 147reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 736reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $780M for 116 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.11 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Bruce Keebeck Lee | Chicago, Il | Jul 9, 2018 | 40 y | 3 |
| Joseph Byron Polakoff | Chicago, Il | Jul 10, 2018 | 25 y | 2 |
| Christopher John Duff | Chicago, Il | Nov 5, 2018 | 10 y | 2 |
| Matthew Callan Carey | Chicago, Il | Jul 25, 2020 | 11 y | 0 |
| Henry Reilly | Chicago, Il | Aug 25, 2026 | 10 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 headcount1 left over 36 months
Left, latest
- Donna D Shin to J.P. Morgan Securities LLCJan 14, 2025 · RIA to wirehouse
- William Seyfarth to Alliancebernstein L.P.Apr 13, 2023 · Other
- Matthew P Anderson to Summit Financial, LLCJul 2, 2021 · RIA to affiliated broker-dealer or bank
- Steve C Vujevich to Summit Financial, LLCJul 2, 2021 · RIA to affiliated broker-dealer or bank
- Charles Douglas Robinson to Summit Financial, LLCJul 2, 2021 · RIA to affiliated broker-dealer or bank
- Timothy John Lynch to 6 Meridian LLCFeb 25, 2021 · RIA to RIA
- Mathew Trevor Klody to Whitnell & CoJun 9, 2020 · RIA to RIA
Joined, latest
- Donna D Shin from Merrill Lynch, Pierce, Fenner & Smith IncorporatedMay 8, 2023 · Wirehouse to independent RIA
- William Seyfarth from Goldman Sachs Wealth Services, L.P.Feb 7, 2022 · Affiliated broker-dealer or bank to independent RIA
- Charles Douglas Robinson from Cornerstone WealthAug 17, 2020 · RIA to RIA
- Matthew P Anderson from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJun 17, 2020 · Wirehouse to independent RIA
- Steve C Vujevich from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJun 17, 2020 · Wirehouse to independent RIA
- Timothy John Lynch from Merrill Lynch, Pierce, Fenner & Smith IncorporatedFeb 1, 2019 · Wirehouse to independent RIA
- Christopher John Duff from Equitable Advisors, LLCNov 5, 2018 · Affiliated broker-dealer or bank to independent RIA
- Joseph Byron Polakoff from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJul 10, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- Bruce Keebeck Lee from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJul 9, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJul 15, 2020 · Columbus, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Callan Matthew Carey · Chief Compliance Officercontrolsince 03/2021 · owns less than 5%
- Keebeck Bruce Lee · Managing Member, Founder & Chief Executive Officercontrolsince 05/2018 · owns 75% or more
- Byron Joseph Polakoff · Presidentcontrolsince 09/2021 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chicago, Il · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Scottsdale, AZ1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 30, 2026LEE, BRUCE, KEEBECK (MANAGING MEMBER, FOUNDER & CHIEF EXECUTIVE OFFICER) left Schedule A between the filings of 2021-03-29 and 2026-03-30peers: independent wealth managers, $1B to $5B (1,362)
- business activity changedChange between filings · filing Mar 30, 2026advises private funds (Item 7.B): yes on the filing of 2025-03-28, no on the filing of 2026-03-30peers: independent wealth managers, $1B to $5B (1,362)
- business activity changedChange between filings · filing Mar 30, 2026portfolio management for pooled vehicles (Item 5.G.4): yes on the filing of 2025-03-28, no on the filing of 2026-03-30peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 764 to 736Mar 28, 2025 to Mar 30, 2026
- Advisory activities · 2 to 1Mar 28, 2025 to Mar 30, 2026
- Charity clients · unset to 1.0Mar 28, 2025 to Mar 30, 2026
- Corporate clients · unset to 1.0Mar 28, 2025 to Mar 30, 2026
- HNW clients · 141 to 147Mar 28, 2025 to Mar 30, 2026
- Pension plan clients · unset to 1.0Mar 28, 2025 to Mar 30, 2026
- Assets in custody · $719M to $780MMar 28, 2025 to Mar 30, 2026
- Employees · 7 to 9Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.6B to $2.0BMar 28, 2025 to Mar 30, 2026
- HNW RAUM · $1.4B to $1.8BMar 28, 2025 to Mar 30, 2026
- Individual RAUM · 593759.0 to unsetMar 28, 2025 to Mar 30, 2026
- Pension RAUM · $182M to $204MMar 28, 2025 to Mar 30, 2026
- RAUM · $1.6B to $2.0BMar 28, 2025 to Mar 30, 2026
- Accounts · 814 to 764Oct 30, 2024 to Mar 28, 2025
- Advisory employees · 5 to 4Oct 30, 2024 to Mar 28, 2025
- Business name · KEEBECK WEALTH MANAGEMENT LLC to KEEBECK WEALTH MANAGEMENTOct 30, 2024 to Mar 28, 2025
- HNW clients · 111 to 141Oct 30, 2024 to Mar 28, 2025
- Assets in custody · $632M to $719MOct 30, 2024 to Mar 28, 2025
- Financial planning clients · unset to Oct 30, 2024 to Mar 28, 2025
- State-registered IARs · 5 to 4Oct 30, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.6B to $1.6BOct 30, 2024 to Mar 28, 2025
- HNW RAUM · $1.4B to $1.4BOct 30, 2024 to Mar 28, 2025
- Individual RAUM · $799,307 to $593,759Oct 30, 2024 to Mar 28, 2025
- Pension RAUM · $164M to $182MOct 30, 2024 to Mar 28, 2025
- RAUM · $1.6B to $1.6BOct 30, 2024 to Mar 28, 2025
- Accounts · 629 to 814Mar 30, 2023 to Mar 29, 2024
- Advisory employees · 6 to 5Mar 30, 2023 to Mar 29, 2024
- HNW clients · 108 to 111Mar 30, 2023 to Mar 29, 2024
- Assets in custody · $721M to $632MMar 30, 2023 to Mar 29, 2024
- Employees · 10 to 7Mar 30, 2023 to Mar 29, 2024
- State-registered IARs · 6 to 5Mar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.5B to $1.6BMar 30, 2023 to Mar 29, 2024
- HNW RAUM · $1.2B to $1.4BMar 30, 2023 to Mar 29, 2024
- Individual RAUM · $573,054 to $799,307Mar 30, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $13.0M to $0Mar 30, 2023 to Mar 29, 2024
- Pension RAUM · $118M to $164MMar 30, 2023 to Mar 29, 2024
- RAUM · $1.6B to $1.6BMar 30, 2023 to Mar 29, 2024
- Accounts · 535 to 629Mar 30, 2022 to Mar 30, 2023
- Advisory employees · 5 to 6Mar 30, 2022 to Mar 30, 2023
- HNW clients · 75 to 108Mar 30, 2022 to Mar 30, 2023
Signals
13 dated events
- Keebeck Wealth Management reported RAUM $2.0B, up 25% from $1.6B (2025-03-28 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- Donna D Shin left Keebeck Wealth Management for J.P. Morgan Securities Llc (registered 2026-07-07)Jan 14, 2025 · Advisor changed firm · fact
- William Seyfarth left Keebeck Wealth Management for Alliancebernstein L.P. (registered 2023-08-07)Apr 13, 2023 · Advisor changed firm · fact
- Keebeck Wealth Management reported RAUM $1.6B, up 28% from $1.2B (2022-03-30 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- Keebeck Wealth Management reported RAUM $1.6B, up 59% from $1.0B (2020-08-03 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- Callan Matthew Carey (Chief Compliance Officer) appeared on Schedule A of Keebeck Wealth ManagementMar 29, 2021 · Control person joined · fact
- Lynn Stephanie Roberts (Director Of Operations) no longer on Schedule A of Keebeck Wealth Management (listed 2020-03-03, absent 2020-06-23)Jun 23, 2020 · Control person left · inference
- Trevor Mathew Klody (Chief Investment Officer) no longer on Schedule A of Keebeck Wealth Management (listed 2020-03-03, absent 2020-06-23)Jun 23, 2020 · Control person left · inference
- Keebeck Wealth Management reported RAUM $887.5M, up 33% from $665.7M (2018-12-18 to 2019-03-19)Mar 19, 2019 · RAUM change · derived
- Lynn Stephanie Roberts (Director Of Operations) appeared on Schedule A of Keebeck Wealth ManagementMar 19, 2019 · Control person joined · fact
- Trevor Mathew Klody (Chief Investment Officer) appeared on Schedule A of Keebeck Wealth ManagementMar 19, 2019 · Control person joined · fact
- Keebeck Wealth Management reported RAUM $665.7M, up 26% from $526.5M (2018-11-06 to 2018-12-18)Dec 18, 2018 · RAUM change · derived
- Keebeck Wealth Management Llc filed its initial SEC registration (Form ADV)Jun 7, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Keebeck Wealth Management LLC · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business email
- info@keebeck.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 312-825-1200reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/keebeck-wealth-management/?viewAsMemberreportedpublic record, Form ADV, Sep 18, 2026
- Website
- keebeck.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-825-1200reportedpublic record, Form ADV, Mar 30, 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
- $406Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026