James Richard Keller

Current Employers

Keller Investment Advisors Llc

Jackson, WY • United States

Current Registrations

Authority	Category	Status	Date
WY	RA	APPROVED	2026-06-16

WY RA
APPROVED

Since 2026-06-16

Branch Locations

Jackson, WY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Tocqueville Asset Management, Lp	Jackson	WY	05/2016	06/2019
First Western Trust	Jackson	WY	06/2019	10/2023
Cerity Partners Llc	New York	NY	11/2023	Present

05/2016 → 06/2019

Tocqueville Asset Management, Lp

Jackson, WY
06/2019 → 10/2023

First Western Trust

Jackson, WY
11/2023 → Present

Cerity Partners Llc

New York, NY

Previous Registrations

2023-11-17 → 2025-11-17

Cerity Partners Llc

Jackson, WY

New York, NY
2017-09-22 → 2019-06-20

Tocqueville Asset Management Lp

New York, NY
2016-02-17 → 2016-05-29

Raif, Llc

Jackson Hole, WY
2016-02-16 → 2016-02-25

Thermopolis Partners, Llc

Jackson Hole, WY

Other Businesses

Keller Strategies LLC Investment Related - Yes PO Box 3904 Jackson, WY 83001 Financial planning (non-AUM related), financial modeling, business consulting Manager, owner April 2026 20 hours 10 hours Managing the modeling and financial plans of client relationships.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2016-02-16

S65 Uniform Investment Adviser Law Examination

2016-02-16

Designations

Other Names

James Richard Keller

View on SEC IAPD