KEENAN, LLC of BOSTON, MA is an SEC-registered investment adviser (CRD 285673). Regulatory assets under management: $202.5M.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles.
| Name | Role | Location |
|---|---|---|
| Brian Edward Keenan | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | Byfield, MA |
| Keenan James Edward | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-02-02 | regulatory | KF TRANSACTED BUSINESS AS AN INVESTMENT ADVISER IN CONNECTICUT WITHOUT REGISTRATION UNDER THE ACT IN VIOLATION OF SECTION 36B-6(C)(1) AND ENGAGED AN UNREGISTERED INVESTMENT ADVISER AGENT IN VIOLATION OFSECTION 36B-6(C)(3) OF THE ACT. | Final | $6K |
| 2023-10-19 | regulatory | FROM ON OR ABOUT OCTOBER 2022, KF TRANSACTED BUSINESS IN PENNSYLVANIA AS AN INVESTMENT ADVISER WHILE NEITHER REGISTERED NOR EXEMPT FROM REGISTRATION PURSUANT TO SECTION 301 OF THE 1972 ACT, 70 P.S. 1-301. KF INITIATED PENNSYLVANIA STATE REGISTRATION IN MAY 2023. | Final | $9K |