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.
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SEC-registered adviser
J••••••• • A••••••••• F•••••••• A•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jul 30, 2023 · 8 filings
SEC status approved since Aug 29, 2023
RAUM
$240M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$237M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$48.0M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$240M as of Mar 31, 2026
Feb 18, 2024$179M then
HNW client RAUM$146M as of Mar 31, 2026
Feb 18, 2024$105M then
State-registered IARs (5.B.3)5 as of Mar 31, 2026
Feb 18, 20245 then
Employees (5.A)8 as of Mar 31, 2026
Feb 18, 20249 then
Private funds: no history
RAUM +15% over the last fiscal yearIARs 5 to 5
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $48.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 136derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $827,877derivedHNW RAUM over HNW clients
- Average account
- $214,974derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- $2.7MreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$146M61%
- Individuals$90.8M38%
- Corporations and businesses$2.9M1.2%
- Charitable organizations$655,8890.3%
- Individual clients
- 504reported
- HNW clients
- 176reported
- Pension plan clients
- 0reported
- Charitable clients
- 3reported
- Accounts
- 1,117reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=4.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••••• R•••• L•••• | Paducah, Ky | Dec 1, 2023 | 15 y | 1 |
| M•••••• R•••• W••• | Paducah, Ky | Dec 1, 2023 | 12 y | 1 |
| L•••• T••••• B•••• | Paducah, Ky | Dec 1, 2023 | 13 y | 0 |
| C•••••• L••• J•••••• | Paducah, Ky | Dec 1, 2023 | 15 y | 0 |
| K•••• T••• J••••••• | Paducah, Ky | Dec 1, 2023 | 25 y | 2 |
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 headcount1 left over 36 months
Left, latest
- N••••••• R••• P•• to H•••••••• P••••••• P•••••••Jul 19, 2024 · RIA to RIA
Joined, latest
- K•••••• R•••• L•••• from K••••••• F•••••••• G••••• L••Dec 1, 2023 · RIA to a newly registered adviser
- M•••••• R•••• W••• from K••••••• F•••••••• G••••• L••Dec 1, 2023 · RIA to a newly registered adviser
- K•••• T••• J••••••• from K••••••• F•••••••• G••••• L••Dec 1, 2023 · RIA to a newly registered adviser
- N••••••• R••• P•• from K••••••• F•••••••• G••••• L••Dec 1, 2023 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from K••••••• F•••••••• G••••• L••Dec 1, 2023 · Lexington, Ky
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J•••••••• K••••• T••• · Managing Member & Chief Compliance Officercontrolsince 07/2023 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Paducah, Ky · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,006 to 1,117Mar 14, 2025 to Mar 31, 2026
- Corporate clients · 4 to 8Mar 14, 2025 to Mar 31, 2026
- HNW clients · 162 to 176Mar 14, 2025 to Mar 31, 2026
- Individual clients · 458 to 504Mar 14, 2025 to Mar 31, 2026
- Discretionary RAUM · $208M to $240MMar 14, 2025 to Mar 31, 2026
- HNW RAUM · $127M to $146MMar 14, 2025 to Mar 31, 2026
- Individual RAUM · $78.1M to $90.8MMar 14, 2025 to Mar 31, 2026
- RAUM · $208M to $240MMar 14, 2025 to Mar 31, 2026
- Accounts · 980 to 1,006Nov 14, 2024 to Mar 14, 2025
- BD registered reps · 5 to 4Nov 14, 2024 to Mar 14, 2025
- Individual clients · 454 to 458Nov 14, 2024 to Mar 14, 2025
- Employees · 9 to 8Nov 14, 2024 to Mar 14, 2025
- Insurance-licensed employees · 5 to 0Nov 14, 2024 to Mar 14, 2025
- Financial planning clients · 0 to 1-10Nov 14, 2024 to Mar 14, 2025
- Discretionary RAUM · $179M to $208MNov 14, 2024 to Mar 14, 2025
- HNW RAUM · $105M to $127MNov 14, 2024 to Mar 14, 2025
- Individual RAUM · $70.8M to $78.1MNov 14, 2024 to Mar 14, 2025
- RAUM · $179M to $208MNov 14, 2024 to Mar 14, 2025
- Accounts · 991 to 980Dec 22, 2023 to Feb 18, 2024
- Charity clients · 0 to 3Dec 22, 2023 to Feb 18, 2024
- Corporate clients · 0 to 4Dec 22, 2023 to Feb 18, 2024
- HNW clients · 54 to 162Dec 22, 2023 to Feb 18, 2024
- Individual clients · 487 to 454Dec 22, 2023 to Feb 18, 2024
- Discretionary RAUM · $176M to $179MDec 22, 2023 to Feb 18, 2024
- HNW RAUM · $68.7M to $105MDec 22, 2023 to Feb 18, 2024
- Individual RAUM · $106M to $70.8MDec 22, 2023 to Feb 18, 2024
- Pension RAUM · $122,000 to $0Dec 22, 2023 to Feb 18, 2024
- RAUM · $176M to $179MDec 22, 2023 to Feb 18, 2024
- Accounts · 0 to 991Aug 4, 2023 to Dec 22, 2023
- HNW clients · 0 to 54Aug 4, 2023 to Dec 22, 2023
- Individual clients · 0 to 487Aug 4, 2023 to Dec 22, 2023
- Discretionary RAUM · $0 to $176MAug 4, 2023 to Dec 22, 2023
- HNW RAUM · $0 to $68.7MAug 4, 2023 to Dec 22, 2023
- Individual RAUM · $0 to $106MAug 4, 2023 to Dec 22, 2023
- Pension RAUM · $0 to $122,000Aug 4, 2023 to Dec 22, 2023
- RAUM · $0 to $176MAug 4, 2023 to Dec 22, 2023
- Wrap assets (manager) · unset to 0.0Jul 30, 2023 to Aug 4, 2023
- Wrap assets (sponsor) · unset to 0.0Jul 30, 2023 to Aug 4, 2023
Signals
3 dated events
- N••••••• R••• P•• left J••••••• • A••••••••• F•••••••• A•••••••• L•• for H•••••••• P••••••• P••••••• (registered 2024-08-21)Jul 19, 2024 · Advisor changed firm · fact
- 4 advisors left K••••••• F•••••••• G••••• L•• (Lexington, KY) for J••••••• • A••••••••• F•••••••• A•••••••• L•• on the same dayDec 1, 2023 · Team lift-out · derived
- J••••••• • A••••••••• F•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jul 30, 2023 · First SEC registration · fact
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
- 270-448-1010reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/jennings-&-associates-financial-advisorreportedpublic record, Form ADV, Sep 18, 2026
- Website
- jenningsfinancialadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (270) 448-1010reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- jenningsfinancialadvisors.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- jenningsfinancialadvisors.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $48.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026