9AT: KEATING WEALTH MANAGEMENT, LLC

Adviser Profile

As of Date	06/28/2024
Registration status	Terminated
ADV Location	GREENWOOD VILLAGE, CO, United States
Contact Info	(72 xxxxxxx
Websites

AUM^*	202,684,639
of that, discretionary	202,684,639
Number of Employees	1 -50%
of those in investment advisory functions	1
Private Fund GAV^*	0
Avg Account Size	1,132,316
% High Net Worth	83.72%
SMA’s	No
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Pension and profit sharing plans

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses

Compensation Arrangments

- A percentage of assets under your management
- Fixed fees (other than subscription fees)

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser EVANSON ASSET MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM5.9b	#Funds-
Adviser LEGAL ADVANTAGE INVESTMENTS, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM275.3m	#Funds-
Adviser O'BRIEN INVESTMENT MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM254.3m	#Funds-
Adviser PENN DAVIS MCFARLAND INC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.4b	#Funds-
Adviser CYPRESS CAPITAL MANAGEMENT US LIMITED	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM106.2m	#Funds-
Adviser STERLING ASSET MANAGEMENT CO INC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM87.0m	#Funds-
Adviser BRAZOS CAPITAL	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM102.5m	#Funds-
Adviser MOSAIC WEALTH MANAGEMENT, L.L.C.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM238.8m	#Funds-
Adviser BLUELIST PARTNERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM134.3m	#Funds-
Adviser J.K. FINANCIAL, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM195.8m	#Funds-

Brochure Summary

Overview

3 We design each client’s asset allocation and investment portfolio based on a thorough evaluation and analysis of the individual goals and objectives of each client. Following client approval, we implement the changes necessary to create the recommended investment portfolio. We seek to ensure that investment decisions are made in accordance with the fiduciary duties owed to our clients and without consideration of our economic, investment or other financial interests. To meet our fiduciary obligations, we typically recommend broadly diversified, low cost and tax efficient index exchange-traded funds as the core holdings of each client portfolio. As a general matter, we do not typically recommend or invest in individual securities on behalf of our clients. A wrap fee program is an investment program where the client pays one stated fee that includes management fees, transaction costs, fund expenses, and other administrative fees. We do not participate in any wrap fee programs. Assets Under Management As of September 29, 2023, Keating Wealth Management managed a total of $185,000,000

on behalf of 43 clients. Asset-Based Fees for Portfolio Management For investment supervisory services, we charge fees based upon the percentage of assets under management. The compensation method is explained and agreed with clients in advance of any services being rendered. The fees for our services are as follows: Assets Under Management Annual Fee $0 to $5,000,000 1.00% $5,000,001 to $10,000,000 0.80% $10,000,001 to $15,000,000 0.70% $15,000,001 to $25,000,000 0.60% $25,000,001 to $50,000,000 0.50% $50,000,001 to $100,000,000 0.40% Fees are calculated using an average of the daily balance in the client's account throughout the billing period, after taking into account deposits and withdrawals, for purposes of determining the market value of the assets upon which the advisory fee is based. Fees are charged on accounts that maintain cash balances. In special situations and under certain circumstances, the fee may be negotiable (and in some cases may be set as a fixed dollar amount), and the final fee schedule is attached as Section II of the Investment Advisory Agreement.

KEATING WEALTH MANAGEMENT, LLC

KEATING WEALTH MANAGEMENT, LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

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KEATING WEALTH MANAGEMENT, LLC KEATING WEALTH MANAGEMENT, LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

KEATING WEALTH MANAGEMENT, LLC

KEATING WEALTH MANAGEMENT, LLC