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F•••• C••••• A•••••••

Former SEC-registered adviserFormer SEC adviser· Louisville, Kentucky

Former SEC-registered adviser, based in Louisville, Kentucky.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
Not applicable
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
Not applicable
Private clients
Not established
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 10 Form ADV filings for this adviser, the latest 8.6 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 164886 · SEC 801-77178 · 10 filingsShow
CRD 164886SEC 801-77178First filing on the tape Sep 17, 2012, latest Apr 6, 2018IAPD
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
0 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Dec 7, 2017
Nov 14, 20122 then
Employees (5.A)2 as of Dec 7, 2017
Nov 14, 20122 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 1
Practice profile
derived from the filing of Apr 6, 2018; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
unknownreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••••• S•••••• L••• · Human Resources/Board Membercontrol
        since 04/2007 · owns 10% to 25%
      • C••••••• T••••• D•••••• · Vice President/Board Membercontrol
        since 11/2015 · owns less than 5%
      • F••••••• W••••••• C••••••• · Sr Vice President & Board Membercontrol
        since 09/2007 · owns 10% to 25%
      • J•••••••• M•••• J••• · Vice President/Secretarycontrol
        since 01/2018 · owns less than 5%
      • K•••••• R••••••• S••••• · Senior Vice President/Municipal Principalcontrol
        since 10/2016 · owns 25% to 50%
      • M•••••• B••••• E••••• · Ceo/Branch Manager/Board Membercontrol
        since 10/2016 · owns less than 5%
      • N••••••••• A••• M•••• · Ccocontrol
        since 10/2015 · owns less than 5%
      • O••••••• K••••• P•••••• · Sr Vice Presidentcontrol
        since 07/2014 · owns 10% to 25%
      • O••••••• R•••• P•••••• · Cfocontrol
        since 10/2016 · owns less than 5%
      • K•••••• R••••••• S••••• · Branch Manager/Muni Principalcontrol
        since 01/2016 · owns 25% to 50% of F•••• K••••••• S••••••••• C•••
      • H•••••••• C••••••••• J•••• · Vice President
        since 05/2001 · owns less than 5%
      • K•••••• F••••••••• J••••••• · Vice President
        since 01/2016 · owns less than 5%
      • M•••••• B••••• S• · Owner
        since 01/2015 · owns 10% to 25%
      • M•••••• C••••••••• R••••• · Owner
        since 01/2015 · owns 10% to 25%
      Entity owners
      • F•••• K••••••• S••••••••• C••• · Owner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 4 to 0
        Nov 23, 2016 to Dec 7, 2017
      • BD registered reps · 3 to 2
        Nov 23, 2016 to Dec 7, 2017
      • Employees · 4 to 2
        Nov 23, 2016 to Dec 7, 2017
      • Financial planning clients · unset to 0
        Nov 23, 2016 to Dec 7, 2017
      • State-registered IARs · 2 to 1
        Nov 23, 2016 to Dec 7, 2017
      • Other offices · unset to 1.0
        Nov 23, 2016 to Dec 7, 2017
      • Related broker-dealer · true to false
        Nov 23, 2016 to Dec 7, 2017
      • Advisory employees · 2 to 4
        Oct 14, 2016 to Nov 23, 2016
      • BD registered reps · 2 to 3
        Oct 14, 2016 to Nov 23, 2016
      • Employees · 2 to 4
        Oct 14, 2016 to Nov 23, 2016
      • HQ city · LEXINGTON to LOUISVILLE
        Oct 14, 2016 to Nov 23, 2016
      • HQ city · FRANKFORT to LEXINGTON
        Jul 13, 2015 to Dec 8, 2015
      • Advisory employees · unset to 2.0
        Sep 17, 2012 to Nov 14, 2012
      • BD registered reps · unset to 2.0
        Sep 17, 2012 to Nov 14, 2012
      • Employees · unset to 2.0
        Sep 17, 2012 to Nov 14, 2012
      • State-registered IARs · unset to 2.0
        Sep 17, 2012 to Nov 14, 2012
      Signals
      1 dated events
      • ••• Locked
        Sep 17, 2012 · ria f•••• adv filing · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026