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CRD 170201
LEXINGTON, KY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| J•••• R•••••• Y•••• I• | n/a | Lexington, KY | LEXINGTON, KY | 24 | 25 | n/a | yes |
| B•••••• S••••• T•••• | n/a | LEXINGTON, KY | 12 | 32 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| J••••••• T••••• R•• | PARTNER AND CHIEF COMPLIANCE OFFICER | D | yes | 12/2013 | Mar 17, 2026 | Mar 17, 2026 |
| K••••• M••••••• W•••••• | Partner | D | yes | 12/2013 | Mar 17, 2026 | Mar 17, 2026 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Louisville | Ky | United States | 4 | no |
| Lietchfield | Ky | United States | 3 | no |
| Somerset | Ky | United States | 3 | no |
| Lexington | Ky | United States | 2 | no |
| MT. STERLING | Ky | United States |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 2 | 0 | 2 | 0.0% | 0 | 0 | 0 | 8 | 7 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $2.3B | $1.9B | 25.8% | $1.2B | 23.4% | 49 | 44 | 8 | 8 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| B•••••••• F•••••••• A••••••• | 2 | Feb 19, 2025 | Feb 20, 2025 | LEXINGTON, KY | Team lift out | RIA to RIA | 6.5% |
| J••••••• • A••••••••• F•••••••• A•••••••• L•• | 4 | Dec 1, 2023 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | 3 | Oct 26, 2015 | Apr 27, 2026 | LEXINGTON, KY | Team lift out | Other | 0.0% |
| yes |
| R•••••• B••••• S•••• | n/a | LEXINGTON, KY | 12 | 28 | 1 | yes |
| E•••• D•••••• C•• | n/a | LEXINGTON, KY | 12 | 25 | 2 | yes |
| M•••••• W•••••• K•••• | n/a | LEXINGTON, KY | 12 | 24 | 1 | yes |
| G••• J• A••••••• | n/a | LEXINGTON, KY | 12 | 24 | 2 | yes |
| T•••• R•• J•••••• | Certified Financial Planner | LEXINGTON, KY | 12 | 23 | 1 | yes |
| G••••• A•••• M••••••••• | n/a | LEXINGTON, KY | 12 | 22 | 2 | no |
| T•••••• S• J•••••• | Certified Financial Planner | LEXINGTON, KY | 12 | 21 | 1 | yes |
| E••••• C•••• R••••••••• | n/a | LEXINGTON, KY | Venice, FL | 12 | 42 | 3 | yes |
| J•••• S•••• M••••••• | n/a | SOMERSET, KY | LEXINGTON, KY | 12 | 36 | 3 | yes |
| A••• E••••• R••••••••• | n/a | LEXINGTON, KY | SOMERSET, KY | 12 | 22 | 3 | yes |
| R•••••• S•••••• S•••• | n/a | LEXINGTON, KY | Christiansted, VI | 12 | 21 | 3 | no |
| J••• E•••• G•••• | n/a | Mt. Sterling, KY | LEXINGTON, KY | 9 | 27 | n/a | yes |
| J•••• S•••••• T•••••• | n/a | LEXINGTON, KY | 9 | 21 | 1 | yes |
| J••• E••••••• M••••• | n/a | LEXINGTON, KY | Mt. Sterling, KY | 9 | 10 | 1 | yes |
| A••••• T••••• D••••• | Certified Financial Planner | LEXINGTON, KY | Lexingtin, KY | 8 | 24 | n/a | yes |
| J•••••• M•••• C•••••• | n/a | LEXINGTON, KY | 8 | 19 | 4 | yes |
| M•••••• W• H•••• | Certified Financial Planner | LEXINGTON, KY | Ashland, KY | 7 | 18 | 1 | no |
| B•••• L• D•••• | n/a | LEXINGTON, KY | 3 | 10 | n/a | yes |
| D••••••• M•••• G•••••••• | n/a | LEXINGTON, KY | 3 | 11 | 1 | yes |
| A•• C••••• S••••• | n/a | LEXINGTON, KY | 2 | 11 | 1 | no |
| B•••• W•••••• L•••••• | Certified Financial Planner | Louisville, KY | LEXINGTON, KY | 2 | 44 | n/a | yes |
| G•••••• W••••• S•••• | Certified Financial Planner | Louisville, KY | LEXINGTON, KY | 2 | 41 | 3 | yes |
| J••••••• D••• U•••• | Certified Financial Planner | Louisville, KY | LEXINGTON, KY | 2 | 22 | n/a | yes |
| Partner |
| C |
| yes |
| 12/2013 |
| Feb 21, 2014 |
| Nov 12, 2024 |
| no |
| Ashland | Ky | United States | 1 | no |
| Lexington | Ky | United States | 1 | no |
| Lexington | Ky | United States | 1 | no |
| n/a | n/a | n/a | 1 | no |
| Mar 17, 2026 |
| $2.3B |
| $2.3B |
| 49 |
| 33 |
| 8 |
| n/a |
| n/a |
| 2024 | Apr 14, 2025 | $1.9B | $1.8B | 44 | 32 | 8 | n/a | n/a |
| 2023 | Mar 20, 2024 | $1.5B | $1.5B | 45 | 33 | 8 | n/a | n/a |
| 2022 | Mar 29, 2023 | $1.2B | $1.2B | 39 | 28 | 8 | n/a | n/a |
| 2021 | Mar 27, 2022 | $1.2B | $1.2B | 39 | 27 | 8 | n/a | n/a |
| 2020 | Mar 24, 2021 | $1.1B | $1.1B | 39 | 27 | 8 | n/a | n/a |
| 2019 | Mar 4, 2020 | $900M | $886M | 39 | 27 | 8 | n/a | n/a |
| 2018 | Mar 20, 2019 | $795M | $782M | 25 | 25 | 9 | n/a | n/a |
| 2017 | Mar 12, 2018 | $503M | $492M | 25 | 25 | 8 | n/a | n/a |
| 2016 | Feb 17, 2017 | $302M | $292M | 20 | 20 | n/a | n/a | n/a |
| 2015 | Feb 22, 2016 | $215M | $207M | 21 | 17 | n/a | n/a | n/a |
| 2014 | Feb 16, 2015 | $176M | $164M | 20 | 16 | n/a | n/a | n/a |
| LEXINGTON, KY |
| Team lift out |
| RIA to new firm |
| 14.3% |