9AT: WALTER KEENAN WEALTH MANAGEMENT

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

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)

Reported AUM

836M 716M 597M 478M 358M 239M 119M

2015 2016 2017 2018 2019 2020 2021 2022 2023 2024 2025 2026

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Form ADV-E Surprise Examination Reports

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

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

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

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