A complete list of active advisors currently associated with Patrick J. Keating Investment Management, LLC

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The firm provides discretionary portfolio management to individuals, high-net-worth clients, and trusts, structuring portfolios into a Safe component for near-term cash needs and a Growth component for longer-term objectives. Although many firms in this adviser category primarily manage pooled or institutional assets, this firm’s client base consists of a small number of individual and high-net-worth relationships and it reports managing approximately $1.8 million for two clients. The firm’s investment approach splits assets into a Safe sleeve focused on high-quality fixed-income and cash-like instruments and a Growth sleeve implemented largely through broadly diversified ETFs across global equities and alternative growth assets. Investment decisions draw on both fundamental and technical analysis, and accounts are typically managed on a discretionary basis with the flexibility to hold cash or hedged positions when a defensive posture is warranted. Distinctive features include a concentrated operating model as a single-owner, single-employee advisory practice and an explicit emphasis on market-level analysis rather than company-specific security selection to limit company-specific risk. The firm also disclosed a 2016 consent order with the state regulator related to a late ADV filing and an inadvertently listed lapsed certification; the firm reports no client harm and treated the administrative settlement as a business decision, a regulatory disclosure that is relatively uncommon among peers.

To learn more about the advisors currently working at Patrick J. Keating Investment Management, LLC, click on their names below to view their profiles, or click here to see them all on a map. Or, if you tell us about your needs, Warmer can help you find the best advisor for you.