{"url":"https://nivawealth.com/firms/keen-capital-145023","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/145023","regulatoryAum":179678013,"crd":"145023","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7904854","suffix":null,"lastName":"Barwick","firstName":"Jeremiah","middleName":"David"},{"crd":"4261918","suffix":null,"lastName":"GORE","firstName":"THOMAS","middleName":"ANTHONY"},{"crd":"5642429","suffix":null,"lastName":"HOLLENBECK","firstName":"KATHERINE","middleName":"MARIE"},{"crd":"7130811","suffix":null,"lastName":"MERRITT","firstName":"TANNER","middleName":"RAY"}],"total":4,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2022-07-19","regulatoryAum":111707550,"clients":123,"employees":5,"offices":1},{"filedOn":"2023-04-24","regulatoryAum":126264167,"clients":121,"employees":13,"offices":1},{"filedOn":"2024-07-18","regulatoryAum":144232746,"clients":119,"employees":11,"offices":3},{"filedOn":"2025-07-14","regulatoryAum":161285066,"clients":111,"employees":14,"offices":3},{"filedOn":"2026-05-14","regulatoryAum":179678013,"clients":113,"employees":12,"offices":5}],"secFileNumber":"801-123128","legalName":"Keen Capital, LTD","displayName":"Keen Capital","slug":"keen-capital-145023","website":"https://keeninvestors.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/145023/b8c746fcac003fc1-r1.webp","tone":"dark","width":588,"height":200,"sourceUrl":"https://keeninvestors.com/","sourceLabel":"Keen Capital, LTD, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/keencapital","founded":null,"organization":"South Carolina corporation","fiscalYearEnd":"December","headquarters":{"street":"510 Lexington Avenue, Suite 101","city":"Chapin","state":"SC","stateName":"South Carolina","country":"United States","postalCode":"29036"},"tradeNames":["Core Advisors, LTD","Keen Capital"],"registration":{"secApproved":"25 January 2022","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1527764.6041666667,"staff":{"employees":12,"advisory":4,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":179678013,"discretionary":177621035,"discretionaryAccounts":344,"nonDiscretionary":2056978,"nonDiscretionaryAccounts":8,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":48,"regulatoryAum":10322670},{"label":"High-net-worth individuals","clients":48,"regulatoryAum":136342732},{"label":"Pension and profit-sharing plans","clients":17,"regulatoryAum":28523152},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":4425863},{"label":"Corporations and other businesses","clients":null,"fewerThan5":true,"regulatoryAum":63596}],"feePrograms":[{"role":"other","program":"Estate planning","summary":"Estate planning is a fixed fee of $750 for a wills-based plan and $1,000 for a trust-based plan.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1045148","versionId":1045148,"submittedOn":"2026-05-14","documentName":"CORE ADVISORS, LTD. DISCLOSURE BROCHURE"},{"role":"other","program":"Financial planning","summary":"Financial planning is billed hourly at $120 to $395 per hour, or at a fixed fee agreed in writing; fees may be negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1045148","versionId":1045148,"submittedOn":"2026-05-14","documentName":"CORE ADVISORS, LTD. DISCLOSURE BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T13:37:42.17126+00:00","documents":[{"name":"CORE ADVISORS, LTD. DISCLOSURE BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1045148","versionId":1045148,"submittedOn":"2026-05-14"}]},"custodians":[{"name":"Broadridge Business Process Outsourcing, LLC","shortName":"Broadridge Business Process Outsourcing","location":"Edgewood, NY","smaAssets":23006177},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Columbus, OH","smaAssets":153322178}],"custodyNote":"Keen Capital has custody of $134M for 92 clients.","otherCustodians":[],"leadership":[{"name":"Thomas Gore","title":"CCO and President","crd":"4261918"},{"name":"Katherine Hollenbeck","title":"Chief Investment Officer","crd":"5642429"}],"ownership":[{"label":"Thomas Gore","detail":"Cco and president in the 75% or more ownership band and a control person, since August 2007."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":4,"privateResidences":2},"listedOfficeAddresses":3,"foreignOffices":[],"officesByState":[{"state":"North Carolina","offices":1,"addresses":[{"street":"1213 West Morehead Street","city":"Charlotte"}]},{"state":"South Carolina","offices":2,"addresses":[{"street":"510 Lexington Avenue, Suite 101","city":"Chapin","headquarters":true},{"street":"355 S. Main Street","city":"Greenville"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"803-941-4444","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"51-100","assetMix":[{"label":"Exchange-traded equity securities","percent":43},{"label":"U.S. government/agency bonds","percent":2},{"label":"Securities issued by registered investment companies or business development companies","percent":52},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":1},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"14 May 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/145023/PDF/145023.pdf","brochureDate":"14 May 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1045148","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Keen Capital have?","answer":"Keen Capital has 113 clients and manages $180 million for them, as of May 2026. They include 48 individual clients, 48 high-net-worth individuals, and 17 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 14 May 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Keen Capital offer?","answer":"Keen Capital provides financial planning, portfolio management for individuals and small businesses, pension consulting, and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Keen Capital use?","answer":"Keen Capital’s separately managed account assets are held at Charles Schwab & Co., Inc. (Columbus, OH), with $153M and Broadridge Business Process Outsourcing, LLC (Edgewood, NY), with $23M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 14 May 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Keen Capital have?","answer":"Keen Capital has 4 investment adviser representatives registered with state securities authorities, out of 12 employees, and 4 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Keen Capital invest in?","answer":"At the end of its last fiscal year, Keen Capital’s separately managed accounts held 52% registered funds (mutual funds, ETFs, BDCs), 43% exchange-traded equities, 2% U.S. government and agency bonds, 2% cash and equivalents and 1% pooled vehicles (private funds and similar).","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Keen Capital?","answer":"Keen Capital’s direct owner is Thomas Gore (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 14 May 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Keen Capital get paid?","answer":"Keen Capital 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Keen Capital?","answer":"Keen Capital’s main office is at 510 Lexington Avenue, Suite 101, Chapin, SC 29036. Its phone number is 803-941-4444. Its website is keeninvestors.com.","source":"Form ADV Part 1A, Item 1.F, filed 14 May 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}