DFX Intelligence
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F•••• K••••••• S••••••••• C•••ORATION, CRD 7524
LOUISVILLE, 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 |
|---|---|---|---|---|---|---|
| C•••••••• J•••• H••••••• | Certified Financial Planner | LEXINGTON, KY | 13 | 40 | n/a | yes |
| R•••••• S••••• K••••• | n/a | LEXINGTON, KY | 13 | 44 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| C••••••• T•••• D•••••• | VICE PRESIDENT/BOARD MEMBER | A | yes | 11/2015 | Mar 15, 2016 | Dec 18, 2024 |
| F••••••• W•••••• C••••••• J• | SENIOR VP & BOARD MEMBER | B | yes | 09/2007 | Jan 30, 2012 | Dec 18, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Lexington | Ky | United States | 7 | yes |
| 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 |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 0 | 2 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2024 | $566M | $535M | 5.7% | $717M | -7.6% | 19 | 24 | 1 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| L••••• F•••••••• I••••••••• A••••••• L•• | 5 | Jan 13, 2023 | Jan 26, 2023 | LOUISVILLE, KY | Team lift out | RIA to new firm | 23.8% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| R•••• S•••••••• • A••••••••• L•• | 3 | Jun 1, 2020 | May 29, 2020 | CINCINNATI, OH | Team lift out | RIA to RIA | 27.3% |
| yes |
| J••• A•••• M••• | n/a | LOUISVILLE, KY | Louisville, KY | 13 | 31 | 1 | yes |
| M•••••• A• H•••••••• | n/a | LOUISVILLE, KY | 13 | 31 | n/a | yes |
| K•••• P•••••• O•••••• | n/a | LOUISVILLE, KY | 11 | 42 | 2 | yes |
| J•••• S••••• K•••• | n/a | LOUISVILLE, KY | 11 | 38 | 1 | yes |
| R••• P•••••• O••••••• | Certified Financial Planner | LOUISVILLE, KY | 11 | 17 | 1 | yes |
| M••• J••• J••••••• | Certified Financial Planner | LOUISVILLE, KY | 10 | 37 | 3 | yes |
| K•••••• V• K••••• | n/a | LOUISVILLE, KY | LEXINGTON, KY | 9 | 17 | n/a | yes |
| B•••• C• C••••• | Certified Financial Planner | LOUISVILLE, KY | 6 | 21 | 4 | yes |
| B•••••• C•••• P••••••• | n/a | LEXINGTON, KY | 6 | 22 | 4 | yes |
| T•••• D•••••• C•••••• | n/a | LOUISVILLE, KY | 5 | 15 | 1 | yes |
| C•••• E•••• C••• | n/a | LOUISVILLE, KY | 4 | 10 | n/a | yes |
| R••• H•••••••• W••• | n/a | LEXINGTON, KY | 1 | 13 | n/a | yes |
| A••••• P••••• F•••• | n/a | LEXINGTON, KY | 1 | 13 | n/a | yes |
| BRANCH MANAGER/ MUNI PRINCIPAL/ BOARD MEMBER |
| B |
| yes |
| 10/2016 |
| Jan 30, 2012 |
| Dec 18, 2024 |
| N••••••••• A•• M•••• | Cco | Na | yes | 10/2015 | Mar 15, 2016 | Dec 18, 2024 |
| O••••••• K•••• P•••••• | SENIOR VICE PRESIDENT/BOARD MEMBER | B | yes | 07/2014 | Mar 15, 2016 | Dec 18, 2024 |
| O••••••• R••• P•••••• | CFO/ CEO/ BRANCH MANAGER/ BOARD MEMBER | A | yes | 08/2019 | Mar 15, 2016 | Dec 18, 2024 |
| H•••••••• C•••••••• J•••• | VICE PRESIDENT/ SHAREHOLDER | Na | no | 05/2001 | Jan 30, 2012 | Dec 18, 2024 |
| H•••••• J••• E•••••••• | PRIVATE WEALTH ADVISOR/ SHAREHOLDER | Na | no | 01/2001 | Oct 14, 2016 | Dec 18, 2024 |
| J•••••••• M••• J••• | VICE PRESIDENT/ SECRETARY/ SHAREHOLDER | Na | no | 11/2015 | Dec 21, 2017 | Dec 18, 2024 |
| K•••••• F•••••••• J••••••• | REGISTERED REPRESENTATIVE | Na | no | 01/2016 | Jan 30, 2012 | Dec 18, 2024 |
| Dec 18, 2024 |
| $679M |
| $389M |
| 20 |
| 17 |
| 1 |
| n/a |
| n/a |
| 2023 | Dec 6, 2023 | $535M | $262M | 24 | 20 | 1 | n/a | n/a |
| 2022 | Nov 14, 2022 | $641M | $397M | 25 | 21 | 1 | n/a | n/a |
| 2021 | Dec 7, 2021 | $717M | $429M | 33 | 24 | 1 | n/a | n/a |
| 2020 | Dec 3, 2020 | $566M | $335M | 30 | 24 | 1 | n/a | n/a |
| 2019 | Dec 16, 2019 | $413M | $241M | 25 | 19 | 1 | n/a | n/a |
| 2018 | Dec 18, 2018 | $339M | $198M | 25 | 19 | 1 | n/a | n/a |
| 2017 | Dec 21, 2017 | $228M | $208M | 26 | 18 | 1 | n/a | n/a |
| 2016 | Dec 23, 2016 | $189M | $172M | 28 | 18 | n/a | n/a | n/a |
| 2015 | Dec 8, 2015 | $205M | $205M | 24 | 19 | n/a | n/a | n/a |
| 2014 | Mar 3, 2015 | $212M | $212M | 23 | 18 | n/a | n/a | n/a |
| 2013 | Nov 14, 2013 | $165M | $0 | 18 | 14 | n/a | n/a | n/a |
| 2012 | Nov 9, 2012 | $156M | $0 | 18 | 14 | n/a | n/a | n/a |
| 2011 | Jan 30, 2012 | $129M | $83.6M | n/a | n/a | n/a | n/a | n/a |