Keats, Connelly & Associates, Inc
- Regulatory AUM
- —
- Discretionary
- —
- Clients
- 15
- Avg AUM / client
- —
- Accounts
- —
- Employees
- 2
AUM over time
Annual snapshots from Form ADV filings · as of Dec 20, 2021
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| High net worth individuals | 15 | $0 | — |
People (1)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Robert Francis Keats | Ceo/Cco | CFP | Oct 1990 (36y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Keats Connelly And Associates Inc. | Owner | Oct 2008 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 12/20/2021 | 949 KB | 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
- • Hourly charges
- • Fixed fees
- • Other fees
- • ADVISER REFERRAL FEES
Services
- • Financial planning services
- • Selection of other advisers
- • Educational seminars/workshops
- • Other services
Custody
Reported custodians
- National Advisors Trust Company $167M (60% of AUM) Mar 2019
- Charles Schwab & Co. $98.2M (35% of AUM) Mar 2019
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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: Dec 20, 2021.
View current Form ADV (SEC/IAPD) ↗