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 investment advisers
One row per CRD, from the adviser’s latest Form ADV. The class is a rule over Item 5.D (where the RAUM sits) and Item 7.A (related broker-dealer or bank); the wirehouses and national broker-dealers are a short curated list. Advisors is the count of representatives IAPD registers through the firm today, which is not the same as the firm’s own Item 5.B answer.
| Firm | HQ | Class | RAUM | Private clients | Advisors | RAUM / advisor | Offices | Private funds |
|---|---|---|---|---|---|---|---|---|
| Centerline Wealth Advisors, LLC CRD 164485 | Louisville, KY | independent RIA | $326M | 96% | 4 | $81.5M | 0 | 0 |
| Investments & Financial Planning, LLC CRD 164333 | Lexington, KY | independent RIA | $319M | 100% | 3 | $106M | 1 | 0 |
| Family Wealth Planning Partners CRD 323656 | Louisville, KY | independent RIA | $317M | 65% | 4 | $79.3M | 2 | 0 |
| M•••••• A••••••• S•••••••• L•• CRD 283056 | Louisville, KY | independent RIA | $314M | 97% | 7 | $44.9M | 3 | 0 |
| R••••••• F••••••••• L•• CRD 309381 | Louisville, KY | independent RIA | $314M | 99% | 1 | $314M | 0 | 0 |
| L••••••••• P•••••••• I••• CRD 175433 | Glasgow, KY | independent RIA | $291M | 100% | 4 | $72.7M | 1 | 0 |
| R•••••• C•••••• M••••••••• L•• CRD 109513 | Lexington, KY | independent RIA | $275M | 90% | 4 | $68.8M | 1 | 0 |
| D•••••• T••••••• I••••••••• C•••• CRD 329512 | Prospect, KY | independent RIA | $265M | 77% | 3 | $88.4M | 0 | 5 |
| W•••••• H••• C•••••• M••••••••• CRD 285981 | Lexington, KY | independent RIA | $264M | 92% | 4 | $66.0M | 0 | 1 |
| W••••••••• C•••••• M••••••••• L•• CRD 154708 | Louisville, KY | independent RIA | $260M | 69% | 6 | $43.4M | 0 | 4 |
| P••••••••• W••••• A•••••••• L•• CRD 138143 | Covington, KY | independent RIA | $252M | 91% | 2 | $126M | 0 | 0 |
| W••••••• C••••••••• CRD 140498 | Louisville, KY | independent RIA | $251M | 100% | 1 | $251M | 0 | 0 |
| J••••••• • A••••••••• F•••••••• A•••••••• L•• CRD 312706 | Paducah, KY | independent RIA | $240M | 99% | 5 | $48.0M | 0 | 0 |
| B••• P•••••• W•••••• L•• CRD 310682 | Prospect, KY | independent RIA | $220M | 100% | 3 | $73.5M | 0 | 0 |
| A•••••••• I••••••••• M••••••••• CRD 146493 | Louisville, KY | independent RIA | $215M | 85% | 5 | $43.1M | 1 | 0 |
| I••••• A•••• M••••••••• L•• CRD 164193 | Lexington, KY | independent RIA | $212M | 88% | 3 | $70.6M | 0 | 0 |
| L•• W••••• P•••••••• L•• CRD 331339 | Elizabethtown, KY | independent RIA | $191M | 100% | 11 | $17.3M | 1 | 0 |
| W••••• M••••••••• O• T•• B••••••••• L••• CRD 289163 | Lexington, KY | independent RIA | $187M | 84% | 2 | $93.4M | 0 | 0 |
| R••••••• • P•••••••• M••••••••• CRD 157609 | Crescent Springs, KY | independent RIA | $161M | 100% | 3 | $53.6M | 0 | 0 |
| I••••• I••• CRD 146357 | Lexington, KY | independent RIA | $159M | 100% | 5 | $31.7M | 0 | 0 |
| W••••••• G•• L•• CRD 339521 | Louisville, KY | asset manager | $156M | 0.0% | 0 | n/a | 1 | 3 |
| V• A•••••••• L•• CRD 334305 | Louisville, KY | asset manager | $150M | 0.0% | 0 | n/a | 0 | 1 |
| T••••••• F•••••••• P••••••• CRD 141571 | Mt. Sterling, KY | independent RIA | $148M | 100% | 3 | $49.4M | 2 | 0 |
| T•• P••••••••• P••••• CRD 124957 | Bellevue, KY | independent RIA | $147M | 94% | 4 | $36.8M | 0 | 0 |
| L••••• A•••• M••••••••• L•• CRD 150888 | Louisville, KY | independent RIA | $142M | 88% | 1 | $142M | 0 | 3 |
| E••••• A••••••• O• K••••••• I•• CRD 116398 | Lexington, KY | independent RIA | $142M | 100% | 3 | $47.2M | 1 | 0 |
| M••••••• W••••• A••••••• CRD 283632 | Louisville, KY | independent RIA | $141M | 100% | 3 | $47.0M | 0 | 0 |
| Q• W••••• M••••••••• CRD 314932 | Lexington, KY | independent RIA | $123M | 100% | 3 | $41.2M | 0 | 0 |
| A••• L•• CRD 314832 | Lexington, KY | independent RIA | $114M | 100% | 7 | $16.3M | 0 | 0 |
| G•••••• W••••• A•••••••• L•• CRD 170046 | Louisville, KY | independent RIA | $105M | 97% | 3 | $35.0M | 0 | 0 |
| R••••••••• A•••• M••••••••• L•• CRD 161087 | Louisville, KY | independent RIA | $103M | 85% | 2 | $51.5M | 0 | 0 |
| A••••• R••• E•••••• L•• CRD 337329 | Louisville, KY | asset manager | $63.4M | 0.0% | 0 | n/a | 0 | 0 |
| H••••• I••••••••• CRD 341803 | Louisville, KY | asset manager | $57.7M | 0.0% | 2 | $28.9M | 0 | 9 |
| C••••••• V••••••• CRD 329078 | Covington, KY | asset manager | $41.3M | 0.0% | 2 | $20.7M | 0 | 1 |
| D••• W••••• P•••••••• L•• CRD 316202 | Louisville, KY | independent RIA | $30.4M | 100% | 6 | $5.1M | 2 | 0 |
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