Broker-dealer firm · Huntsville, AL
Keel Point, LLC
SEC-registered investment adviser · CRD 127902 · SEC 801-62249
At a glance
Keel Point, LLC is an SEC-registered investment adviser based in Huntsville, Alabama, with $4.1 billion in regulatory assets under management as of its Form ADV filed June 8, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 1,560 individual clients. By Form ADV it is a broker-dealer firm, ranked 96th of 391 broker-dealer firms and 2,395th of 17,210 SEC-registered advisers by assets.
Main office 256-704-5111keelpoint.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $4.1B
- Rank among broker-dealer firms
- #96 of 391
- Rank among all SEC RIAs
- #2,395 of 17,210
- Rank in Alabama
- #11 of 92
- Individual clients
- 1,560
- High-net-worth clients
- 846
- Accounts
- 6,236
- Discretionary
- 94% of AUM
- Employees
- 92
- Advisory staff
- 54
- Offices
- 10
Owners and executives on its Form ADV
- Robert C. MayesChief Executive Officer
- David M. ParksExecutive Chairman
- James M. PerryPresident
- Edward L. MintonChief Investment Officer
- Michael L. BatesCCO / General Counsel
- Jason R. BlountCFO
Custody and brokerage
Broker-dealer
Hybrid RIA
Keel Point, LLC is a hybrid RIA: 41 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Keel Point Capital, LLC.
- Keel Point Capital, LLC ↗CRD 6769
An introducing broker-dealer: its trades clear through National Financial Services (Fidelity), which holds the brokerage accounts. Its annual audited report filed with the SEC, March 2026
Its Form ADV brochure (filed June 2026) names Keel Point Capital as the broker-dealer its advisers are registered with.
In addition, certain of our investment adviser representatives also serve in the capacity as registered representatives of our affiliated broker-dealer, KPC, and may receive 12b-1 fees.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 846 | $3.0B | 75% |
| Corporations or other businesses | 37 | $417M | 10% |
| Charitable organizations | 7 | $278M | 7% |
| Individuals | 714 | $198M | 5% |
| State or municipal government entities | 2 | $127M | 3% |
| Pension and profit sharing plans | 6 | $11M | <1% |
| Pooled investment vehicles | 1 | $0M | <1% |
Private funds
Keel Point, LLC reports 3 private funds with $34M in gross assets: hedge funds, private equity funds (Form ADV Item 7.B).
Disciplinary disclosures
Keel Point, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
- Selecting other advisers
- Other services
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗keelpoint.com ↗
AtlasMembers
The full record on Keel Point, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 92 peers of its type and size
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- Owners and executives, with titles and stakes
- 6 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 2Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Keel Point, LLC manage?
Keel Point, LLC reports $4.1 billion in regulatory assets under management across 6,236 accounts, 94% of it on a discretionary basis, on its Form ADV filed June 8, 2026.
What kind of firm is Keel Point, LLC?
Keel Point, LLC is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are Keel Point, LLC’s clients?
By assets, its largest client types are high-net-worth individuals ($3.0 billion, 846 clients); corporations or other businesses ($417 million, 37 clients); charitable organizations ($278 million, 7 clients).
Does Keel Point, LLC manage private funds?
Yes. It reports 3 private funds with $34 million in gross assets, including hedge funds, private equity funds.
Does Keel Point, LLC have any disciplinary history?
Keel Point, LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Keel Point, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-06-08), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →