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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

DUPREE FINANCIAL GROUP, LLC

CRD 131091

LEXINGTON, KY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:b6877f5d-867b-5885-184e-59a6a291ddbb

Data as of Aug 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 3
On other graphs: 0
Observed: Nov 9, 2011 to Aug 24, 2026
37 observations

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $404MItem 5.F on the latest filing (2026-08-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $404M
Private client RAUM: $404MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 7
RAUM per advisor: $57.8Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 7
Advisory employees: 6
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,655
Individual clients: 711
High net worth clients: 114
SEC number: 801-71497
CRD: 131091
Filings on the tape: 37
First filed: Nov 9, 2011
Latest filed: Aug 24, 2026
Organised: Limited Liability Company, KY

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
MICHEAL ALLEN JOHNSON	n/a	LEXINGTON, KY	16	20	2	no
THOMAS PARMELEE DUPREE	n/a	LEXINGTON, KY	16	42	4	no
Denise Marie Rodriguez	n/a	LEXINGTON, KY	2	15	n/a	no
Thomas Clark Dupree	n/a	Phoenix, AZ \| LEXINGTON, KY	2	11	2	no
MICHAEL MALOOF DAWAHARE	n/a	LEXINGTON, KY	2	12	n/a	no
JAMES Parmelee DUPREE	n/a	Lexington, KY	1	12	n/a	no
David Hudson Kemp	n/a	LEXINGTON, KY	0	12	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
AMBROSE, WILLIAM, MARTIN	CHIEF COMPLIANCE OFFICER AND CHIEF FINANCIAL OFFICER	Na	yes	04/2015	Feb 29, 2016	Mar 26, 2024
DUPREE, THOMAS, PARMELEE	MANAGER / MEMBER	E	yes	08/2003	Nov 9, 2011	Mar 26, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 15 of 16

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 17, 2026	$404M	$404M	7	6	0	n/a	n/a
2024	Mar 5, 2025	$330M	$330M	6	5	0	n/a	n/a
2023	Mar 26, 2024	$283M	$283M	5	5	0	n/a	n/a
2022	Apr 13, 2023	$269M	$269M	5	3	0	n/a	n/a
2021	Mar 25, 2022	$291M	$291M	6	4	0	n/a	n/a
2020	Mar 9, 2021	$269M	$269M	6	4	0	n/a	n/a
2019	Apr 29, 2020	$268M	$268M	6	4	0	n/a	n/a
2018	Mar 27, 2019	$207M	$207M	5	3	0	n/a	n/a
2017	Mar 15, 2018	$214M	$214M	5	4	0	n/a	n/a
2016	Apr 26, 2017	$179M	$179M	5	5	n/a	n/a	n/a
2015	Mar 10, 2016	$156M	$156M	5	5	n/a	n/a	n/a
2014	Mar 31, 2015	$155M	$155M	5	4	n/a	n/a	n/a
2013	Mar 31, 2014	$148M	$148M	5	4	n/a	n/a	n/a
2012	Mar 20, 2013	$125M	$125M	4	4	n/a	n/a	n/a
2011	Mar 27, 2012	$90.0M	$90.0M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	1	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$404M	$330M	22.5%	$269M	14.6%	7	6	0	0

Relationships

Registered with (12)

← David Hudson KempAdvisorregistration: current employment
Oct 24, 2025 to presentfactForm ADV
← JAMES Parmelee DUPREEAdvisorregistration: current employment
Feb 28, 2025 to presentfactForm ADV
← MICHAEL MALOOF DAWAHAREAdvisorregistration: current employment
Feb 9, 2024 to presentfactForm ADV
← Thomas Clark DupreeAdvisorregistration: previous registration
Aug 27, 2020 to Mar 11, 2022factForm ADV
← Denise Marie RodriguezAdvisorregistration: current employment
Oct 2, 2023 to presentfactForm ADV
← THOMAS PARMELEE DUPREEAdvisorregistration: previous registration
Jun 3, 2005 to Jun 10, 2005factForm ADV
← MICHEAL ALLEN JOHNSONAdvisorregistration: current employment
Jun 4, 2010 to presentfactForm ADV
← EMA D WILBURNAdvisorregistration: previous registration
Oct 18, 2022 to Aug 15, 2023factForm ADV
← Phillip Ezekiel SextonAdvisorregistration: previous registration
May 6, 2014 to Mar 11, 2022factForm ADV
← COLIN THOMAS WHEELERAdvisorregistration: previous registration
Mar 31, 2014 to Oct 15, 2015factForm ADV
← LOGAN EDWARD FOSTERAdvisorregistration: previous registration
Jun 25, 2010 to Dec 13, 2013factForm ADV
← RICHARD F BROADBENTAdvisorregistration: previous registration
Apr 12, 2012 to Aug 1, 2012factForm ADV

Controls (2)

← AMBROSE, WILLIAM, MARTINOwnerCHIEF COMPLIANCE OFFICER AND CHIEF FINANCIAL OFFICER, ownership code NA, individual
Feb 29, 2016 to Mar 26, 2024factForm ADV
← DUPREE, THOMAS, PARMELEEOwnerMANAGER / MEMBER, ownership code E, individual
Nov 9, 2011 to Mar 26, 2024factForm ADV

Dated events

Occurred
Aug 15, 2023
Advisor changed firm
Ema D Wilburn left Dupree Financial Group, Llc for Level Four Advisory Services (registered 2023-08-24)
Form ADVobserved 4 days ago
Occurred
Mar 11, 2022
Advisor changed firm
Phillip Ezekiel Sexton left Dupree Financial Group, Llc for Raymond James & Associates, Inc. (registered 2022-02-15)
Form ADVobserved 4 days ago
Occurred
Mar 11, 2022
Advisor changed firm
Thomas Clark Dupree left Dupree Financial Group, Llc for Strategy Financial Group (registered 2022-07-12)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b6877f5d-867b-5885-184e-59a6a291ddbb
First observed: Nov 9, 2011
Last observed: Aug 24, 2026 26 days ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

DUPREE FINANCIAL GROUP, LLC

CRD 131091

LEXINGTON, KY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:b6877f5d-867b-5885-184e-59a6a291ddbb

Data as of Aug 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:31 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

MICHEAL ALLEN JOHNSON

n/a

LEXINGTON, KY

THOMAS PARMELEE DUPREE

n/a

LEXINGTON, KY

Denise Marie Rodriguez

n/a

LEXINGTON, KY

n/a

Thomas Clark Dupree

n/a

Phoenix, AZ | LEXINGTON, KY

MICHAEL MALOOF DAWAHARE

n/a

LEXINGTON, KY

n/a

JAMES Parmelee DUPREE

n/a

Lexington, KY

n/a

David Hudson Kemp

n/a

LEXINGTON, KY

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AMBROSE, WILLIAM, MARTIN

CHIEF COMPLIANCE OFFICER AND CHIEF FINANCIAL OFFICER

yes

04/2015

Feb 29, 2016

Mar 26, 2024

DUPREE, THOMAS, PARMELEE

MANAGER / MEMBER

yes

08/2003

Nov 9, 2011

Mar 26, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 17, 2026

$404M

n/a

2024

Mar 5, 2025

$330M

n/a

2023

Mar 26, 2024

$283M

n/a

2022

Apr 13, 2023

$269M

n/a

2021

Mar 25, 2022

$291M

n/a

2020

Mar 9, 2021

$269M

n/a

2019

Apr 29, 2020

$268M

n/a

2018

Mar 27, 2019

$207M

n/a

2017

Mar 15, 2018

$214M

n/a

2016

Apr 26, 2017

$179M

n/a

2015

Mar 10, 2016

$156M

n/a

2014

Mar 31, 2015

$155M

n/a

2013

Mar 31, 2014

$148M

n/a

2012

Mar 20, 2013

$125M

n/a

2011

Mar 27, 2012

$90.0M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$404M

$330M

22.5%

$269M

14.6%