DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Alexander Investment Services Co.
Latest filing Sep 4, 2026
First filing on the tape Dec 16, 2011 · 36 filings
SEC status approved since Nov 7, 1974
RAUM
$496M
reported, Item 5.F
Discretionary
2.5%
of RAUM
Private clients
96%
$479M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$49.6M
derived; firm RAUM over IAPD count
Employees
12
10 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$496M as of Mar 30, 2026
Aug 28, 2012$319M then
HNW client RAUM$307M as of Mar 30, 2026
Sep 28, 2018$152M then
State-registered IARs (5.B.3)10 as of Mar 30, 2026
Aug 28, 20120 then
Employees (5.A)12 as of Mar 30, 2026
Sep 4, 201313 then
Private funds: no history
RAUM -23% over the last fiscal year-1.1% a year over threeIARs 12 to 10
Practice profile
derived from the filing of Sep 4, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $49.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 124derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $397,015derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 2.5%derivedof RAUM
- Institutional
- 3.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -23%derivedbetween the last two annual amendments
- Advisor growth, one year
- -17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $13.8M, 1 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$307M62%
- Individuals$172M35%
- Pension and profit-sharing plans$17.4M3.5%
- Individual clients
- 1,117reported
- HNW clients
- 123reported
- Pension plan clients
- 10reported
- Charitable clients
- n/areported
- Accounts
- 1,250reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $13.8M for 1 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=12.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| John M FrymireCertified Financial Planner | Fisherville, Ky | Aug 6, 2012 | 28 y | 2 |
| Drew Stephenson Adams | Harlan, Ky | Jun 23, 2014 | 20 y | 0 |
| John Bradley Stillwagon | Louisville, Ky | Aug 18, 2016 | 32 y | 0 |
| Michael Andrew Hanlein | Louisville, Ky | Jul 27, 2017 | 10 y | 0 |
| Robert Allen Meek | Louisville, Ky | Jan 2, 2019 | 24 y | 0 |
| Leo Andrew Hanlein | Louisville, Ky | Apr 19, 2022 | 33 y | 0 |
| Gerald Andrew Wells | Louisville, Ky | Apr 19, 2022 | 45 y | 0 |
| Thomas Craig Wilson | Louisville, Ky | Apr 19, 2022 | 41 y | 0 |
| Richard Lynn Fox | Harlan, Ky | Apr 19, 2022 | 42 y | 0 |
| Ancil Collett | Corbin, Ky | Jan 1, 2025 | 48 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Ryan Scott Collett to State Farm Investment Management Corp.Jun 1, 2020 · Other
Joined, latest
- Ryan Scott Collett from Raymond James Financial Services Advisors, IncJan 16, 2018 · Other
- John M Frymire from Morgan Stanley & Co. LLCAug 6, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Richard Lynn Fox · Owner, Principal, Director, Vice-Presidentcontrolsince 09/1996 · owns 10% to 25%
- Leo Andrew Hanlein · Owner, Principal, Director, Presidentcontrolsince 09/1998 · owns 50% to 75%
- Gerald Andrew Wells · Owner, Principal, Director, Vice-President, Chief Compliance Officercontrolsince 09/1998 · owns 10% to 25%
- Thomas Craig Wilson · Ownersince 09/1998 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Louisville, Ky · principal | 7 | 0 | 0 | ||
| Harlan, Ky | 3 | 0 | 0 | ||
| Fisherville, Ky | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Harlan, KY3 employees
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- institutional to wealth shiftCombination · filing Mar 30, 2026institutional share fell 15 points or more while private-client share rose 15 points or more. RAUM $641,355,878 to $496,269,176, advisors 12 to 10, private clients 1172 to 1240, offices 1 to 1 (2025-02-04 to 2026-03-30)peers: independent wealth managers, $100M to $500M (5,676)
- HNW share shiftChange between filings · filing Mar 30, 2026HNW share of RAUM moved from 44.0% to 62.0% between the annual amendments of 2025-02-04 and 2026-03-30peers: independent wealth managers, $100M to $500M (5,676)
- client mix shiftChange between filings · filing Mar 30, 2026private-client share of RAUM moved from 78.0% to 96.0% between the annual amendments of 2025-02-04 and 2026-03-30peers: independent wealth managers, $100M to $500M (5,676)
- institutional asset share shiftChange between filings · filing Mar 30, 2026institutional share of RAUM moved from 22.0% to 4.0% between the annual amendments of 2025-02-04 and 2026-03-30peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Financial planning clients · 101-250 to 101-250Mar 30, 2026 to Sep 4, 2026
- Succession · false to unsetMar 30, 2026 to Sep 4, 2026
- Accounts · 1,304 to 1,250Sep 2, 2025 to Feb 11, 2026
- Advisory employees · 12 to 10Sep 2, 2025 to Feb 11, 2026
- BD registered reps · 13 to 12Sep 2, 2025 to Feb 11, 2026
- HNW clients · 105 to 123Sep 2, 2025 to Feb 11, 2026
- Individual clients · 1,132 to 1,117Sep 2, 2025 to Feb 11, 2026
- Pension plan clients · 67 to 10Sep 2, 2025 to Feb 11, 2026
- Assets in custody · $7.9M to $13.8MSep 2, 2025 to Feb 11, 2026
- Employees · 13 to 12Sep 2, 2025 to Feb 11, 2026
- State-registered IARs · 12 to 10Sep 2, 2025 to Feb 11, 2026
- Discretionary RAUM · $10.7M to $12.3MSep 2, 2025 to Feb 11, 2026
- HNW RAUM · $271M to $307MSep 2, 2025 to Feb 11, 2026
- Individual RAUM · $168M to $172MSep 2, 2025 to Feb 11, 2026
- Non-discretionary RAUM · $568M to $484MSep 2, 2025 to Feb 11, 2026
- Pension RAUM · $140M to $17.4MSep 2, 2025 to Feb 11, 2026
- RAUM · $579M to $496MSep 2, 2025 to Feb 11, 2026
- Accounts · 1,242 to 1,304Feb 4, 2025 to Sep 2, 2025
- HNW clients · 107 to 105Feb 4, 2025 to Sep 2, 2025
- Individual clients · 1,065 to 1,132Feb 4, 2025 to Sep 2, 2025
- Pension plan clients · 70 to 67Feb 4, 2025 to Sep 2, 2025
- Discretionary RAUM · $7.9M to $10.7MFeb 4, 2025 to Sep 2, 2025
- HNW RAUM · $283M to $271MFeb 4, 2025 to Sep 2, 2025
- Individual RAUM · $216M to $168MFeb 4, 2025 to Sep 2, 2025
- Non-discretionary RAUM · $633M to $568MFeb 4, 2025 to Sep 2, 2025
- Pension RAUM · $143M to $140MFeb 4, 2025 to Sep 2, 2025
- RAUM · $641M to $579MFeb 4, 2025 to Sep 2, 2025
- Accounts · 1,226 to 1,242Oct 1, 2024 to Feb 4, 2025
- HNW clients · 105 to 107Oct 1, 2024 to Feb 4, 2025
- Individual clients · 1,050 to 1,065Oct 1, 2024 to Feb 4, 2025
- Pension plan clients · 71 to 70Oct 1, 2024 to Feb 4, 2025
- Assets in custody · $8.8M to $7.9MOct 1, 2024 to Feb 4, 2025
- Financial planning clients · 101-250 to 101-250Oct 1, 2024 to Feb 4, 2025
- Discretionary RAUM · $8.8M to $7.9MOct 1, 2024 to Feb 4, 2025
- HNW RAUM · $261M to $283MOct 1, 2024 to Feb 4, 2025
- Individual RAUM · $200M to $216MOct 1, 2024 to Feb 4, 2025
- Non-discretionary RAUM · $584M to $633MOct 1, 2024 to Feb 4, 2025
- Pension RAUM · $132M to $143MOct 1, 2024 to Feb 4, 2025
- RAUM · $593M to $641MOct 1, 2024 to Feb 4, 2025
- Accounts · 1,165 to 1,226Sep 8, 2023 to Oct 1, 2024
Signals
2 dated events
- Alexander Investment Services Co. reported RAUM $561.2M, up 43% from $392.8M (2020-09-28 to 2021-10-25)Oct 25, 2021 · RAUM change · derived
- Alexander Investment Services Co. reported RAUM $327.9M, up 85% from $177.6M (2017-10-27 to 2018-09-28)Sep 28, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 502-459-4414reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 502-459-7535reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 502-736-1336reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- AISRETIREMENT.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 502-459-4414reportedpublic record, Form ADV, Sep 4, 2026
- Team page
- AISRETIREMENT.COM/our-teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $49.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026