Keel Point, LLC
Registered investment adviser · Huntsville, AL · CRD #127902
Form ADV data as of 2026-09-01Regulatory assets
$4.07 billion
Total accounts
6,236
Employees
92
Disclosure events
0
Firm details
- Website: https://www.facebook.com/keelpointllc
- Telephone: 256-704-5111
- SEC file number: 801-62249
- Most recent Form ADV filing: 2026-06-08
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm answered No to every Item 11 disciplinary question on its most recent Form ADV filing.
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $3.82 billion |
| Non-discretionary regulatory assets under management | $253.8 million |
| Total regulatory assets under management | $4.07 billion |
| Discretionary accounts | 6,174 |
| Non-discretionary accounts | 62 |
| Total accounts | 6,236 |
| Regulatory assets under management attributable to non-U.S. persons | $31.3 million |
People
| Total employees (excluding clerical) | 92 |
| Employees performing investment advisory functions (including research) | 54 |
| Employees who are registered representatives of a broker-dealer | 41 |
| Employees registered as investment adviser representatives with a state | 48 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 21 |
| Firms or persons who solicit advisory clients on the firm's behalf | 1 |
Custody
| Has custody of client cash or bank accounts | Yes |
| Has custody of client securities | Yes |
| Client funds and securities held in the firm's custody | $1.30 billion |
| Clients for whom the firm has custody | 501 |
| A related person has custody of client cash or bank accounts | Yes |
| A related person has custody of client securities | Yes |
| Client funds and securities held in a related person's custody | $106.4 million |
| Clients for whom a related person has custody | 17 |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
| Number of persons acting as qualified custodians for the firm's clients | 19 |
How the firm is compensated
Advisory services offered
Other business activities
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Buys or sells for itself securities it also recommends to clients
- Recommends securities in which it has another proprietary interest
- Executes agency cross transactions involving advisory client securities
- Recommends securities for which it serves as underwriter or general partner
- Recommends securities in which it has another sales interest
- Brokers or dealers selected under 8.C.(3) are related persons
- Recommends brokers or dealers to clients
- Brokers or dealers recommended under 8.E. are related persons
- Receives soft dollar benefits
- Compensates a non-employee for client referrals
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | 714 | $198.4 million |
| High net worth individuals | 846 | $3.04 billion |
| Pooled investment vehicles (other than investment companies and BDCs) | 1 | $420 |
| Pension and profit sharing plans (not the participants or government plans) | 6 | $11.2 million |
| Charitable organizations | 7 | $277.9 million |
| State or municipal government entities (including government pension plans) | 2 | $127.3 million |
| Corporations or other businesses not listed above | 37 | $416.7 million |