{"url":"https://nivawealth.com/firms/walter-and-keenan-wealth-management-104838","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/104838","regulatoryAum":983280961,"crd":"104838","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4362185","suffix":null,"lastName":"KEENAN","firstName":"JAMES","middleName":"F"},{"crd":"6749833","suffix":null,"lastName":"LYNCH","firstName":"ANDREW","middleName":"DAVIES"},{"crd":"7130997","suffix":null,"lastName":"Sawdon","firstName":"James","middleName":"Arthur"},{"crd":"7889268","suffix":null,"lastName":"Voeson","firstName":"Bryant","middleName":"William"},{"crd":"6931335","suffix":null,"lastName":"Watson","firstName":"Tanner","middleName":"Michael"},{"crd":"6189062","suffix":null,"lastName":"WOLFSON","firstName":"DANIEL","middleName":"WILLIAM"}],"total":6,"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":"2021-07-13","regulatoryAum":604481968,"clients":90,"employees":5,"offices":1},{"filedOn":"2022-03-18","regulatoryAum":771214421,"clients":90,"employees":4,"offices":1},{"filedOn":"2023-03-17","regulatoryAum":717482609,"clients":116,"employees":4,"offices":1},{"filedOn":"2024-02-29","regulatoryAum":767071979,"clients":130,"employees":4,"offices":1},{"filedOn":"2025-03-17","regulatoryAum":844608778,"clients":153,"employees":6,"offices":1},{"filedOn":"2026-03-27","regulatoryAum":983280961,"clients":158,"employees":7,"offices":1}],"secFileNumber":"801-22367","legalName":"Walter & Keenan Wealth Management, LLC","displayName":"Walter & Keenan Wealth Management","slug":"walter-and-keenan-wealth-management-104838","website":"https://walterandkeenan.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/104838/34abad506628854d-r1.webp","tone":"light","width":1021,"height":200,"sourceUrl":"https://www.walterandkeenan.com/","sourceLabel":"Walter Keenan Wealth Management, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/walter-keenan-wealth-management/","founded":null,"organization":"Indiana limited liability company","fiscalYearEnd":"December","headquarters":{"street":"202 S. 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They include 94 high-net-worth individuals, 50 individual clients and 10 charitable organizations.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 27 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Walter & Keenan Wealth Management offer?","answer":"Walter & Keenan Wealth Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, 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":"How much does Walter & Keenan Wealth Management charge?","answer":"Walter & Keenan Wealth Management charges 0.50%–0.75% for its Portfolio management services. The brochure does not state whether the rate is annual. Each asset band is charged at its own rate. The fee is billed in arrears and is negotiable.","source":"2026 WKWM ADV PART 2A (3.27.26), filed 27 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Walter & Keenan Wealth Management use?","answer":"Walter & Keenan Wealth Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Chicago, IL), with $697M and The Bank of New York Mellon Corporation (New York, NY), with $118M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 27 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Walter & Keenan Wealth Management have?","answer":"Walter & Keenan Wealth Management has 5 investment adviser representatives registered with state securities authorities, out of 7 employees, and 5 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 Walter & Keenan Wealth Management invest in?","answer":"At the end of its last fiscal year, Walter & Keenan Wealth Management’s separately managed accounts held 38% exchange-traded equities, 32% registered funds (mutual funds, ETFs, BDCs), 23% pooled vehicles (private funds and similar), 4% cash and equivalents and 3% state and local bonds.","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 Walter & Keenan Wealth Management?","answer":"Walter & Keenan Wealth Management is owned through a holding company by James Keenan. Its direct owners are James Sawdon (25% to 50%), Walter Keenan Financial Consulting (50% to 75%), Walter Keenan Financial (50% to 75%) and Daniel Wolfson (25% to 50%).","source":"Form ADV Part 1A, Schedules A and B, filed 27 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Walter & Keenan Wealth Management get paid?","answer":"Walter & Keenan Wealth 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Walter & Keenan Wealth Management registered with the SEC?","answer":"Yes, Walter & Keenan Wealth Management has been registered with the SEC as an investment adviser since 19 October 1984. 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