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Robert Keating

Wealthplan Investment Management LLC
25 Years of Experience
Morristown, NJ
4 DisclosuresSells Insurance
View SEC Summary
View SEC Summary

Robert Keating is a registered investment advisor at Wealthplan Investment Management LLC, based in Morristown, NJ, with 25 years of industry experience. Robert operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Alternative Investments, Annuities, Business Owners, Corporate Executives, and 9 more. Their firm serves 2,145 clients with $2.2B in assets under management.

Wealthplan Investment Management LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
29 advisors
Number of Clients
2,145 clients
Average Client Portfolio
$1.0M average
Assets Under Management
$2.2B

Fee Structure

Minimum Investment:$5K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

The maximum combined annual management fee and annual strategy fee will not exceed 2.00% of assets under management. Fees are negotiable based on account size, complexity, and services provided.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

89 Headquarters Plaza North, Suite 1443, Morristown, NJ, 07960

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History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Judgment / Lien
July 2025
Judgment / Lien
May 2025
Judgment / Lien
July 2022
Criminal
May 1994
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Robert works as an advisor for Wealthplan Partners, a registered investment advisory firm, dedicating nearly full-time hours. He also engages in insurance sales through Wealthplan Partners, spending a few hours per week on this activity.

Employment History
Current Registrations
Wealthplan Investment Management LLC
June 2026 - Present · 4 mos
Previous Registrations
Osaic Wealth, INC.Broker
June 2024 - December 2025 · 1 yr 6 mos
Wealthplan Partners
December 2021 - March 2026 · 4 yrs 3 mos
Wealthplan Partners
November 2018 - July 2020 · 1 yr 8 mos
Securities America, INC.Broker
November 2018 - June 2024 · 5 yrs 7 mos
Fidelity Personal and Workplace Advisors
July 2018 - November 2018 · 4 mos
Strategic Advisers LLC
October 2013 - July 2018 · 4 yrs 9 mos
Strategic Advisers, INC.
December 2003 - July 2009 · 5 yrs 7 mos
Fidelity Brokerage Services LLCBroker
August 2003 - November 2018 · 15 yrs 3 mos
Merrill Lynch Pierce Fenner & Smith INC.
October 2002 - March 2003 · 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 2002 - March 2003 · 6 mos
J.P. Turner & Company, L.L.C.Broker
February 2000 - July 2002 · 2 yrs 5 mos
State Registrations1 state
NJ
Advisor

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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