Keeler Thomas Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, selecting other managers, estate planning, insurance, and tax planning. Financial planning was provided to 51–100 clients last fiscal year.
Keeler Thomas Management reports 132 clients. They include 76 individual clients and 56 high-net-worth individuals. Of its assets, 99.7% ($305M across 436 accounts) are managed with discretion; $855K across 4 accounts are not. It advised 13 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 58% | 16% |
| High-net-worth individuals | 42% | 83% |
| Charitable organizations | Fewer than 5 | <1% |
| Corporations and other businesses | Fewer than 5 | <1% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 76 | $49.8M | 16.3% | $656K |
| High-net-worth individuals | 56 | $253M | 82.8% | $4.52M |
| Charitable organizations | Fewer than 5 | $1.13M | 0.4% | — |
| Corporations and other businesses | Fewer than 5 | $1.57M | 0.5% | — |
| Total | 132 | $306M | 100% | — |
- Clients
- 76
- Regulatory AUM
- $49.8M
- AUM share
- 16.3%
- Avg. per client
- $656K
- Clients
- 56
- Regulatory AUM
- $253M
- AUM share
- 82.8%
- Avg. per client
- $4.52M
- Clients
- Fewer than 5
- Regulatory AUM
- $1.13M
- AUM share
- 0.4%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $1.57M
- AUM share
- 0.5%
- Avg. per client
- —
Total
- Clients
- 132
- Regulatory AUM
- $306M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 13
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 51–100
Keeler Thomas Management charges 0.94%–1.65% for its Investment Management Services Fee. The brochure does not state whether the rate is annual. The fee is billed in advance or in arrears. The brochure also prices 3 other services, listed under fee details.
Fee details and sources
Other fees
- Financial Planning
- Financial planning fees generally range from $250 to $150,000, negotiable, with the first half of the estimated fee due in advance and the balance on completion.
- Hourly Financial Consulting
- Single-subject financial planning and general consulting are billed at an hourly rate of $100 to $500, negotiable, with an initial retainer of 50% of the estimated fee.
- Investment Vetting Services
- Vetting investments not offered by the firm is billed at a negotiated fee or hourly rate not to exceed $500 per hour, plus expenses incurred.
John Unice owns 75% or more of Keeler Thomas Management. The leadership team of Keeler Thomas Management includes Chief Compliance Officer Nathaniel Evans. It has 12 employees, 7 of them in advisory roles.
Leadership
- Nathaniel EvansChief Compliance Officer/General Manager
- John UniceManaging Member
- Cary WasdenManaging Member
Investment adviser representatives
5 representatives listed in the SEC register as of 9 October 2026.
- Nathaniel Eugene Evans
- Casey Mark Monsen
- Gabriel John Smith
- Derek Carl Unice
- John Leonard Unice
Staff
- 12 employees
- 7 in advisory functions
- 4 state-registered reps
- Owns 75% or more of Keeler Thomas Management LLC
John Unice
Control person · since December 1989
- Owns 10% to 25% of Keeler Thomas Management LLC
Cary Wasden
Control person · since January 2023
Keeler Thomas Management’s regulatory assets grew from $259M (March 2021) to $306M (March 2026); clients fell from 304 to 132 and employees from 15 to 12.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $306M | 132 | 12 | 2 |
| May 2025 | $379M | 295 | 13 | 1 |
| March 2024 | $338M | 338 | 13 | 1 |
| April 2023 | $277M | 323 | 15 | 1 |
| February 2022 | $299M | 316 | 14 | 1 |
| March 2021 | $259M | 304 | 15 | 1 |
Besides its headquarters, Keeler Thomas Management has 1 office, with 2 listed addresses in Utah.
Utah · 2 listed addresses
- 1327 South 800 East, OremHQ
- 617 N Vernal Ave, Vernal
Contact and registration details
- Legal name
- Keeler Thomas Management LLC
- Headquarters
- 1327 South 800 East, Orem, UT 84097
- Website
- keelerthomas.com
- Phone
- 801-226-0800
- @keeler-thomas-management
- SEC file
- 801-100354
- Founded
- 1987
- Structure
- Utah LLC
- Fiscal year end
- December
Keeler Thomas Management uses Fidelity ($291M, 99%) and Charles Schwab ($2.95M, 1%) as custodians for its separately managed accounts. Keeler Thomas Management has custody of $73.4M in client assets for 43 clients.
- FidelityFidelity Distributors Company LLC · Smithfield, RI · $291M99%
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $2.95M1%
At year end, Keeler Thomas Management’s separately managed accounts were largely in funds (37%) and stocks (32%). Its reported 13F holdings for the quarter ended 30 June 2026 total $282M across 135 positions; the largest are iShares TR (8.0%), Global X Fds (4.2%) and First TR Exchange-traded FD (4.2%).
What the accounts hold
- Stocks32%
- Funds37%
- Registered funds36%
- Pooled vehicles1%
- Bonds4%
- U.S. government and agency bonds3%
- State and local bonds1%
- Cash22%
- Other5%
- Annuities5%
Reported 13F holdings
- $282M
- Reported 13F value
- 135
- Positions
- 35.2%
- In the 10 largest
- +19.4%
- Value vs. prior quarter
- iShares TR · Broad Usd High8.0%
- Global X Fds · Globx Supdv US4.2%
- First TR Exchange-traded FD4.2%
- SPDR Series Trust · ST Port High ETF3.3%
- Nvidia Corporation3.0%
- Schwab Strategic TR · US Dividend EQ3.0%
- iShares TR · Core Div Grwth3.0%
- Microsoft Corp.2.2%
- Generac Hldgs Inc.2.1%
- Vanguard Index Fds · S&P 500 ETF Shs2.1%
Together, the ten largest are 35.2% of reported value.
How many clients does Keeler Thomas Management have?
Keeler Thomas Management has 132 clients and manages $306 million for them, as of March 2026. They include 76 individual clients and 56 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 20 March 2026
What services does Keeler Thomas Management offer?
Keeler Thomas Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, selecting other managers, estate planning, insurance, and tax planning.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
How much does Keeler Thomas Management charge?
Keeler Thomas Management charges 0.94%–1.65% for its Investment Management Services Fee. The brochure does not state whether the rate is annual. The fee is billed in advance or in arrears.
Which custodians does Keeler Thomas Management use?
Keeler Thomas Management’s separately managed account assets are held at Fidelity Distributors Company LLC (Smithfield, RI), with $291M and Charles Schwab & Co., Inc. (Westlake, TX), with $2.95M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 20 March 2026
How many financial advisors does Keeler Thomas Management have?
Keeler Thomas Management has 4 investment adviser representatives registered with state securities authorities, out of 12 employees, and 7 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Keeler Thomas Management invest in?
At the end of its last fiscal year, Keeler Thomas Management’s separately managed accounts held 36% registered funds (mutual funds, ETFs, BDCs), 32% exchange-traded equities, 22% cash and equivalents, 5% other, 3% U.S. government and agency bonds, 1% state and local bonds and 1% pooled vehicles (private funds and similar). The 5% other category is described as: Annuities.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Keeler Thomas Management?
Keeler Thomas Management’s direct owners are John Unice (75% or more) and Cary Wasden (10% to 25%).
Source: Form ADV Part 1A, Schedules A and B, filed 20 March 2026
How does Keeler Thomas Management get paid?
Keeler Thomas Management is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
Is Keeler Thomas Management registered with the SEC?
Yes, Keeler Thomas Management has been registered with the SEC as an investment adviser since 15 June 2015. Its CRD number is 109522 and its SEC file number is 801-100354.
Source: Form ADV Part 1A, Item 1, filed 20 March 2026; IAPD firm record
How do I contact Keeler Thomas Management?
Keeler Thomas Management’s main office is at 1327 South 800 East, Orem, UT 84097. Its phone number is 801-226-0800. Its website is keelerthomas.com.