9AT: WALTER KEENAN WEALTH MANAGEMENT

Adviser Profile

As of Date	03/27/2026
Registration	SEC, Approved, 10/19/1984
ADV Location	SOUTH BEND, IN, United States
Contact Info	574 xxxxxxx
Websites

AUM^*	983,280,961 28%
of that, discretionary	835,769,363 38%
Number of Employees	7 75%
of those in investment advisory functions	5 67%
Private Fund GAV^*	0
Avg Account Size	2,052,779 2%
% High Net Worth	59.49% -13%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Charitable organizations
- Corporations or other businesses not listed above

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses
- Selection of other advisers

Compensation Arrangments

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

Accounting Firm Name	Filing Date	Form ADV-E
Accounting Firm Name PLANTE & MORAN, PLLC	Filing Date08/21/2025	Form ADV-E View Report
Accounting Firm Name PLANTE & MORAN, PLLC	Filing Date08/27/2024	Form ADV-E View Report
Accounting Firm Name PLANTE & MORAN, PLLC	Filing Date10/12/2023	Form ADV-E View Report

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 APEXIUM FINANCIAL LP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM4.0b	#Funds-
Adviser FPL CAPITAL MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.1b	#Funds-
Adviser DRIVE WEALTH ADVISERS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.5b	#Funds-
Adviser SCHARF INVESTMENTS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM4.2b	#Funds-
Adviser QUANTITATIVE VALUE TECHNOLOGIES	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM172.6m	#Funds-
Adviser DUMAINE INVESTMENTS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM227.0m	#Funds-
Adviser VALLEY FINANCIAL MANAGEMENT, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM473.3k	#Funds-
Adviser KB FINANCIAL PARTNERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.3b	#Funds-
Adviser GYL FINANCIAL SYNERGIES, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM6.1b	#Funds-
Adviser THE COURY FIRM	Hedge Fund167.4m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV167.4m	AUM1.3b	#Funds2

Brochure Summary

Overview

Walter & Keenan Wealth Management, LLC (“Walter & Keenan” or the “Company”) was incorporated in 2021 to succeed to the advisory business of its predecessor, Walter & Keenan Financial Consulting Co. (“WKFC”), to provide personalized investment advisory and financial advisory services to clients. The clients Walter & Keenan will be advising are primarily high net worth individuals and family groups. The Company also provides investment advisory services to several endowment funds and private foundations. Walter & Keenan is majority owned by WKFC, which is in turn is wholly-owned owned by Mr. James F. Keenan, CFA, JD. Mr. Keenan has been employed by WKFC since May 1985. The advisory services that will be provided to each client are designed to meet each individual client’s investment objectives and risk tolerance. The Company does not use a “model portfolio” approach in which all clients are invested in the same securities. An evaluation is made of the client’s goals and objectives as well as their risk tolerance. Based on this evaluation with the client a portfolio is constructed and managed by us as adviser. As client circumstances and market opportunities change, each portfolio is adjusted accordingly. Client portfolios are generally managed on a discretionary basis. This means that Walter & Keenan has the authority to purchase and sell securities without the prior permission of the client. Information about various investment strategies and methods of

analysis are covered in item 8. Clients may impose some restrictions on the ability of the adviser to purchase or sell certain types of securities. This may be as a result of a client preference to avoid certain areas because of ethical or other concerns. Walter & Keenan may also act in a consulting capacity on a non-discretionary basis in select instances. That service may involve an overview of some or all of the client’s investments. This service may include a review of the current client asset allocation with a view toward making recommendations concerning allocation changes. This service may also include recommendations on specific funds or other securities in a client portfolio. The Company will charge on a fixed fee basis as described in Item 5 of this ADV. Although the Company operates primarily as an investment advisor, it does also provide some general financial advisory services as well. These types of services include such items as general retirement planning as well as tax and estate planning consultation. This is a small part of our overall advisory service. The Company also provides additional services to several private foundation and endowment clients. These services include reviewing grant requests, meeting with grantees and potential grantees, and also meeting with the foundation board or investment committee. As of December 31, 2022, we managed $569,016,755 on a discretionary basis and $148,465,854 on a non-discretionary basis.

WALTER KEENAN WEALTH MANAGEMENT

WALTER KEENAN WEALTH MANAGEMENT

WALTER & KEENAN FINANCIAL CONSULTING CO

WALTER & KEENAN WEALTH MANAGEMENT, LLC

WALTER & KEENAN FINANICAL CONSULTING CO

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Form ADV-E Surprise Examination Reports

Similar advisers

Brochure Summary

Overview

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WALTER KEENAN WEALTH MANAGEMENT WALTER KEENAN WEALTH MANAGEMENT WALTER & KEENAN FINANCIAL CONSULTING CO WALTER & KEENAN WEALTH MANAGEMENT, LLC WALTER & KEENAN FINANICAL CONSULTING CO

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Form ADV-E Surprise Examination Reports

Similar advisers

Brochure Summary

Overview

WALTER KEENAN WEALTH MANAGEMENT

WALTER KEENAN WEALTH MANAGEMENT

WALTER & KEENAN FINANCIAL CONSULTING CO

WALTER & KEENAN WEALTH MANAGEMENT, LLC

WALTER & KEENAN FINANICAL CONSULTING CO