Kelleher Financial Advisors, Llc
- Regulatory AUM
- $1.2B
- Discretionary
- $632M
- Clients
- 284
- Avg AUM / client
- $4.1M
- Accounts
- 749
- Employees
- 13
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Apr 14, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 108 | $29.2M | 2.53% |
| High net worth individuals | 171 | $1.1B | 96.8% |
| Pension and profit sharing plans | 1 | $5.6M | 0.48% |
| Corporations and other businesses | 4 | $2.1M | 0.19% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Owl Cyber Defense Solutions, Llc Retirement Plan Owl Cyber Defense Solutions, Llc | 2024 |
People (9)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Colleen Patricia Sorrentino | Chief Investment Officer/ Manager | CFA | Nov 2000 (26y) | Less than 5% |
| Goetchius, Arthur, Leroy | Chief Executive Officer/ Manager | Feb 2006 (21y) | Less than 5% | |
| Kelleher, Sean, Michael | President/ Manager | Apr 2014 (12y) | ≈ 18.75% – 50% via Wall Street Access Ny Corporation | |
| Barton Wall Weisenfluh | Manager/ Chief Executive Officer, Starboard Division | CFP | Oct 2017 (9y) | Less than 5% |
| Lavin, William, Kane | Manager | Jan 2022 (5y) | Less than 5% | |
| Ouellette, Michael, Anthony | President, Starboard Division | Jan 2022 (5y) | Less than 5% | |
| Marks, Keith, Stanley | Chief Compliance Officer | Oct 2022 (4y) | Less than 5% | |
| David Gordon Rauch | Registered representative | Dec 2015 (11y) | ||
| Neil Nicholas Cataldi | Registered representative | Oct 2022 (4y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Wall Street Access Ny Corporation | Member | Jan 2022 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Kelleher, Sean, Michael: 25% – 50% of Wall Street Access Ny Corporation × 75% – 100% direct ≈ 18.75% – 50% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Owl Cyber Defense Solutions, Llc Retirement Plan | Owl Cyber Defense Solutions, Llc | 227 | $25.4M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/14/2026 | 1.07 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- Fidelity Brokerage Services $310M (27% of AUM) Apr 2026
- Pershing $278M (24% of AUM) Apr 2026
- Charles Schwab & Co. $46.6M (4% of AUM) Apr 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Apr 14, 2026.
View current Form ADV (SEC/IAPD) ↗