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
First Kentucky Securities Corp
Legal name First Kentucky Securities Corporation
Latest filing Dec 2, 2025
First filing on the tape Jan 30, 2012 · 35 filings
SEC status approved since May 3, 2007
RAUM
$566M
reported, Item 5.F
Discretionary
50%
of RAUM
Private clients
98%
$555M individuals and HNW
Advisors
15
registered through the firm on IAPD
RAUM per advisor
$37.7M
derived; firm RAUM over IAPD count
Employees
19
16 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$566M as of Dec 2, 2025
Jan 30, 2012$129M then
HNW client RAUM$370M as of Dec 2, 2025
Dec 21, 2017$65.9M then
State-registered IARs (5.B.3)19 as of Dec 2, 2025
Jan 30, 20120 then
Employees (5.A)19 as of Dec 2, 2025
Nov 9, 201218 then
Private funds: no history
RAUM +5.7% over the last fiscal year-7.6% a year over threeIARs 20 to 19
Practice profile
derived from the filing of Dec 2, 2025; 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
- 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $37.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 101derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $895,238derivedHNW RAUM over HNW clients
- Average account
- $369,937derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 50%derivedof RAUM
- Institutional
- 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 7.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.8%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Wrap fee program
- $562MreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$370M65%
- Individuals$185M33%
- State and municipal entities$5.1M0.9%
- Pension and profit-sharing plans$3.0M0.5%
- Charitable organizations$2.2M0.4%
- Corporations and businesses$849,8280.2%
- Individual clients
- 1,108reported
- HNW clients
- 413reported
- Pension plan clients
- 2reported
- Charitable clients
- 4reported
- Accounts
- 1,530reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $913,933 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=19.0derived
Advisors registered through the firm
15 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Christina Jones HarrisonCertified Financial Planner | Lexington, Ky | Jan 2, 2013 | 40 y | 0 |
| Raymond Strand Kramer | Lexington, Ky | Jan 3, 2013 | 44 y | 0 |
| Michael A Horlander | Louisville, Ky | Jan 3, 2013 | 31 y | 0 |
| Jack Aerod Moss | Louisville, Ky | Jan 3, 2013 | 31 y | 1 |
| James Steven Kiper | Louisville, Ky | Nov 19, 2014 | 38 y | 1 |
| Ryan Patrick O'ConnorCertified Financial Planner | Louisville, Ky | Nov 19, 2014 | 17 y | 1 |
| Kevin Patrick Oconnor | Louisville, Ky | Nov 19, 2014 | 42 y | 2 |
| Mary Jane JenningsCertified Financial Planner | Louisville, Ky | Nov 30, 2015 | 37 y | 3 |
| Kirsten V Kramer | Louisville, Ky | Nov 28, 2016 | 17 y | 0 |
| Bruce C CorwinCertified Financial Planner | Louisville, Ky | May 29, 2020 | 21 y | 4 |
| Bradley Clark Pickrell | Lexington, Ky | May 29, 2020 | 22 y | 4 |
| Tyler Darrell Current | Louisville, Ky | Jan 13, 2021 | 15 y | 1 |
| Colin Ellis Cady | Louisville, Ky | Jan 1, 2022 | 10 y | 0 |
| Austin Parker Flatt | Lexington, Ky | Jan 27, 2025 | 13 y | 0 |
| Ruth Hutchison Webb | Lexington, Ky | Jan 27, 2025 | 13 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 headcount2 left over 36 months
Left, latest
- Patricia B Hughes to LPL Financial LLCOct 2, 2024 · RIA to affiliated broker-dealer or bank
- William Cranston Fenwick to LPL Financial LLCOct 2, 2024 · RIA to affiliated broker-dealer or bank
- Martha L Weeks to Truist Advisory Services, Inc.Jan 24, 2023 · RIA to affiliated broker-dealer or bank
- Bryan Sean Mccrea to Legacy Financial Independent Advisors LLCJan 13, 2023 · RIA to a newly registered adviser
- Christopher Robert Mccrea to Legacy Financial Independent Advisors LLCJan 13, 2023 · RIA to a newly registered adviser
- Bruce Edward Mccrea to Legacy Financial Independent Advisors LLCJan 13, 2023 · RIA to a newly registered adviser
- Sheree Long Bollinger to Legacy Financial Independent Advisors LLCJan 13, 2023 · RIA to a newly registered adviser
- Thomas Clifford Falkner to Legacy Financial Independent Advisors LLCJan 13, 2023 · RIA to a newly registered adviser
- Bradley Clark Pickrell to Ross, Sinclaire & Associates, LLCApr 1, 2020 · RIA to RIA
- Kimberly Lynn Jordan to Raymond James Financial Services Advisors, IncJun 26, 2012 · Other
- Margaret Kelly Mrsic to J.J.B. Hilliard, W.L. Lyons, LLCJan 17, 2012 · Other
- Jeffrey Lee Ed Adkins to L.M. Kohn & CompanyMar 7, 2011 · Other
- John Joseph Mcglynn to L.M. Kohn & CompanyMar 7, 2011 · Other
Joined, latest
- Tyler Darrell Current from Sterne Agee Asset Management, Inc.Jan 13, 2021 · Other
- Bruce C Corwin from Ross, Sinclaire & Associates, LLCMay 29, 2020 · RIA to RIA
- Bradley Clark Pickrell from Ross, Sinclaire & Associates, LLCMay 29, 2020 · RIA to RIA
- Martha L Weeks from Ross, Sinclaire & Associates, LLCMay 29, 2020 · RIA to RIA
- Bradley Clark Pickrell from Ross, Sinclaire & Associates, LLCMar 27, 2020 · RIA to RIA
- Mary Jane Jennings from U.S. Bancorp Investments, Inc.Nov 30, 2015 · Other
- Kevin Patrick Oconnor from UBS Financial Services Inc.Nov 19, 2014 · Other
- James Steven Kiper from UBS Financial Services Inc.Nov 19, 2014 · Other
- Ryan Patrick O'Connor from UBS Financial Services Inc.Nov 19, 2014 · Other
- Jack Aerod Moss from Morgan Stanley Dw Inc.Jan 3, 2013 · Other
- John Joseph Mcglynn from UBS Financial Services Inc.Jul 13, 2010 · Other
- Kimberly Lynn Jordan from Pnc Wealth ManagementFeb 22, 2010 · Other
- Jeffrey Lee Ed Adkins from UBS Financial Services Inc.Jun 15, 2009 · Other
- Sheree Long Bollinger from Wells Fargo AdvisorsNov 2, 2005 · Other
- Bruce Edward Mccrea from Wells Fargo AdvisorsOct 27, 2005 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for Legacy Financial Independent Advisors LLCJan 13, 2023 · Louisville, Ky
- 3 joined from Ross, Sinclaire & Associates, LLCJun 1, 2020 · Cincinnati, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Tyler Darrell Current · Vice President/Board Membercontrolsince 11/2015 · owns 5% to 10%
- William Cranston Jr Fenwick · Senior Vp & Board Membercontrolsince 09/2007 · owns 10% to 25%
- Raymond Strand Jr Kramer · Branch Manager/ Muni Principal/ Board Membercontrolsince 10/2016 · owns 10% to 25%
- Ann Marie Nicholson · Ccocontrolsince 10/2015 · owns less than 5%
- Kevin Patrick Oconnor · Senior Vice President/Board Membercontrolsince 07/2014 · owns 10% to 25%
- Ryan Patrick Oconnor · Cfo/ Ceo/ Branch Manager/ Board Membercontrolsince 08/2019 · owns 5% to 10%
- Christina Jones Harrison · Vice President/ Shareholdersince 05/2001 · owns less than 5%
- Judy Elizabeth Howell · Private Wealth Advisor/ Shareholdersince 01/2001 · owns less than 5%
- Mary Jane Jennings · Vice President/ Secretary/ Shareholdersince 11/2015 · owns less than 5%
- Frederick Jennings Kramer · Registered Representativesince 01/2016 · owns less than 5%
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 | 10 | 0 | 0 | ||
| Lexington, Ky | 6 | 0 | 0 | ||
| Naples, Fl | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Lexington, KY7 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Dec 2, 2025performance-based compensation (Item 5.E.6): no on the filing of 2024-12-18, yes on the filing of 2025-12-02peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 1,757 to 1,530Dec 18, 2024 to Dec 2, 2025
- Advisory employees · 17 to 16Dec 18, 2024 to Dec 2, 2025
- BD registered reps · 20 to 19Dec 18, 2024 to Dec 2, 2025
- Charity clients · unset to 4.0Dec 18, 2024 to Dec 2, 2025
- Corporate clients · 6 to 2Dec 18, 2024 to Dec 2, 2025
- HNW clients · 653 to 413Dec 18, 2024 to Dec 2, 2025
- Individual clients · 1,082 to 1,108Dec 18, 2024 to Dec 2, 2025
- Pension plan clients · 10 to 2Dec 18, 2024 to Dec 2, 2025
- Employees · 20 to 19Dec 18, 2024 to Dec 2, 2025
- Financial planning clients · 1-10 to 1-10Dec 18, 2024 to Dec 2, 2025
- State-registered IARs · 20 to 19Dec 18, 2024 to Dec 2, 2025
- Discretionary RAUM · $389M to $282MDec 18, 2024 to Dec 2, 2025
- HNW RAUM · $466M to $370MDec 18, 2024 to Dec 2, 2025
- Individual RAUM · $183M to $185MDec 18, 2024 to Dec 2, 2025
- Non-discretionary RAUM · $290M to $284MDec 18, 2024 to Dec 2, 2025
- Pension RAUM · $8.6M to $3.0MDec 18, 2024 to Dec 2, 2025
- RAUM · $679M to $566MDec 18, 2024 to Dec 2, 2025
- Wrap assets (manager) · $0 to $913,933Dec 18, 2024 to Dec 2, 2025
- Accounts · 1,690 to 1,757Jul 10, 2024 to Dec 18, 2024
- Advisory employees · 20 to 17Jul 10, 2024 to Dec 18, 2024
- BD registered reps · 24 to 20Jul 10, 2024 to Dec 18, 2024
- Corporate clients · unset to 6.0Jul 10, 2024 to Dec 18, 2024
- HNW clients · 704 to 653Jul 10, 2024 to Dec 18, 2024
- Individual clients · 967 to 1,082Jul 10, 2024 to Dec 18, 2024
- Pension plan clients · 9 to 10Jul 10, 2024 to Dec 18, 2024
- Commission compensation · true to falseJul 10, 2024 to Dec 18, 2024
- Employees · 24 to 20Jul 10, 2024 to Dec 18, 2024
- Discretionary RAUM · $262M to $389MJul 10, 2024 to Dec 18, 2024
- HNW RAUM · $391M to $466MJul 10, 2024 to Dec 18, 2024
- Individual RAUM · $117M to $183MJul 10, 2024 to Dec 18, 2024
- Non-discretionary RAUM · $274M to $290MJul 10, 2024 to Dec 18, 2024
- Pension RAUM · $7.6M to $8.6MJul 10, 2024 to Dec 18, 2024
- RAUM · $535M to $679MJul 10, 2024 to Dec 18, 2024
- Wrap assets (sponsor) · $357M to $0Jul 10, 2024 to Dec 18, 2024
- Accounts · 2,848 to 1,690Jan 18, 2023 to Dec 6, 2023
- Advisory employees · 21 to 20Jan 18, 2023 to Dec 6, 2023
- BD registered reps · 25 to 24Jan 18, 2023 to Dec 6, 2023
- Corporate clients · 17.0 to unsetJan 18, 2023 to Dec 6, 2023
- HNW clients · 1,103 to 704Jan 18, 2023 to Dec 6, 2023
- Individual clients · 1,715 to 967Jan 18, 2023 to Dec 6, 2023
Signals
15 dated events
- First Kentucky Securities Corp reported RAUM $678.6M, up 27% from $535.3M (2024-07-10 to 2024-12-18)Dec 18, 2024 · RAUM change · derived
- Patricia B Hughes left First Kentucky Securities Corp for Lpl Financial Llc (registered 2024-09-30)Oct 2, 2024 · Advisor changed firm · fact
- William Cranston Fenwick left First Kentucky Securities Corp for Lpl Financial Llc (registered 2024-10-01)Oct 2, 2024 · Advisor changed firm · fact
- Martha L Weeks left First Kentucky Securities Corp for Truist Advisory Services, Inc. (registered 2023-02-09)Jan 24, 2023 · Advisor changed firm · fact
- Sheree Long Bollinger (Human Resources Director/ Shareholder) no longer on Schedule A of First Kentucky Securities Corp (listed 2022-11-14, absent 2023-01-18)Jan 18, 2023 · Control person left · inference
- Bryan Sean Mccrea (Board Member) no longer on Schedule A of First Kentucky Securities Corp (listed 2022-11-14, absent 2023-01-18)Jan 18, 2023 · Control person left · inference
- Thomas Clifford Falkner left First Kentucky Securities Corp for Legacy Financial Independent Advisors Llc (registered 2023-01-24)Jan 13, 2023 · Advisor changed firm · fact
- Bruce Edward Mccrea left First Kentucky Securities Corp for Legacy Financial Independent Advisors Llc (registered 2023-01-23)Jan 13, 2023 · Advisor changed firm · fact
- Sheree Long Bollinger left First Kentucky Securities Corp for Legacy Financial Independent Advisors Llc (registered 2023-01-26)Jan 13, 2023 · Advisor changed firm · fact
- Bryan Sean Mccrea left First Kentucky Securities Corp for Legacy Financial Independent Advisors Llc (registered 2023-01-23)Jan 13, 2023 · Advisor changed firm · fact
- Christopher Robert Mccrea left First Kentucky Securities Corp for Legacy Financial Independent Advisors Llc (registered 2023-01-23)Jan 13, 2023 · Advisor changed firm · fact
- 5 advisors left First Kentucky Securities Corp (Louisville, KY) for Legacy Financial Independent Advisors LLC on the same dayJan 13, 2023 · Team lift-out · derived
- First Kentucky Securities Corp reported RAUM $717.2M, up 27% from $565.9M (2021-01-06 to 2021-12-07)Dec 7, 2021 · RAUM change · derived
- First Kentucky Securities Corp reported RAUM $565.9M, up 37% from $412.8M (2020-06-12 to 2020-12-03)Dec 3, 2020 · RAUM change · derived
- First Kentucky Securities Corp reported RAUM $339.5M, up 49% from $227.5M (2018-09-20 to 2018-12-18)Dec 18, 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
- 866-600-3895reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 877-890-7288reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- FIRSTKY.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 502-893-7288reportedpublic record, Form ADV, Dec 2, 2025
- Contact form
- firstky.com/connect/privacy-policyreportedpublished 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
- $37.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026