SourcingSourcing

KEELER THOMAS MANAGEMENT LLC

B61
CRD 109522·SEC 801-100354·OREM, UT
AUM
$305.5M
$100M-$500M
Est. Revenue
$3.1M
@ 1% on AUM
Est. EBITDA
$917K
@ 30% margin
Est. Deal Value
$7.3M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
KEELER THOMAS MANAGEMENT LLC
CRD
109522
SEC file #
801-100354
EIN
870471678
DBA names
—

Economics

AUM
$305.5M
AUM band
$100M-$500M
AUM trajectory
'20'26
$161.5M → $305.5M▲ +89%
Client mix
Individuals Other76
Individuals High Net Worth56

Operations

Employees (total)
12
Advisory staff (per ADV)
7
Advisory staff (5-yr trend)
'20'26
8 advisors → 7 advisors▼ -12%
Primary office
OREM UT
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesPension consulting
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
03/20/2026
ADV-W filed at
—
Website
keelerthomas.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
UNICE, JOHN, LEONARD
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
3
Control Persons
UNICE, JOHN, LEONARD
WASDEN, CARY
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
KEELERTHOMAS.COM
Rdap Domain Creation Date
1998-02-27T05:00:00Z
Rdap Firm Age Years
28
Rdap Firm Age Band
20+y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No
Form 5500 Plan Count
1
Form 5500 Total Compensation
42,039
Form 5500 Compensation Trajectory 3y
202542,039
Form 5500 Plan Count Trajectory 3y
20251
Schedule C Total Compensation
42,039
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Cik
0001730660
Edgar Registered
Yes
Edgar Filing Count
36
Edgar First Filing Date
2018-02-07
Edgar Last Filing Date
2026-05-12
Edgar 13f Count
34
Edgar 13f Latest AUM Estimate
Filing Date2026-05-12
Accession0001172661-26-001671

Compliance & brand

Firm Registration Status
active

All other collected signals (17)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
5
Bc Firm IAR Count
5
Custodian Candidates
Full
Charles Schwab6
E*trade4
Fidelity2
Edgar Addresses
Mailing
1327 S. 800 E.OREM, UT 84097
Business
1327 S. 800 E.OREM, UT 84097
Edgar EIN
870471678
Edgar Recent Filings
13F-HR2026-05-12 · 0001172661-26-001671
13F-HR2026-02-12 · 0001172661-26-000643
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-02-26T05:00:00Z
Rdap Domain Last Changed
2025-10-22T15:16:44Z
Rdap Nameservers
Ns1.esmartstart.comNs2.esmartstart.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Top Owner CRD
868350
Trust Company Affiliate
No

People (6)

6
UNICE, JOHN, LEONARD
IAR · Direct Owner · 87.5%
868350
WASDEN, CARY
Direct Owner · 17.5%
2453157
Evans, Nathaniel, Eugene
IAR · Executive Officer · 2.5%
6902265
GABRIEL JOHN SMITH
IAR
7974419
DEREK CARL UNICE
IAR
6394718
CASEY MARK MONSEN
IAR
5594984