SEC Form ADV, by state
The largest investment adviser firms in Kentucky
The current SEC Form ADV data lists 90 investment adviser firms headquartered in Kentucky, of which 14 (15.6%) answered yes to at least one disciplinary or legal question on Form ADV Item 11. Below are the 50 largest by regulatory assets under management, a gross size measure each firm reports itself. Size is not a quality score, and no public record reports any firm's investment returns.
| Firm | City | Regulatory AUM | Fee methods | Item 11 disclosure |
|---|---|---|---|---|
| RIVER ROAD ASSET MANAGEMENT, LLC | LOUISVILLE | $9.9B | % of AUMperformance | none reported |
| TODD ASSET MANAGEMENT LLC | LOUISVILLE | $6.2B | % of AUMfixed | none reported |
| MERIDIAN WEALTH MANAGEMENT, LLC | LEXINGTON | $5.0B | % of AUMhourlyfixed | yes, reported |
| MCF ADVISORS, LLC | LEXINGTON | $4.7B | % of AUMhourlyfixed | none reported |
| MIDDLEGROUND CAPITAL | LEXINGTON | $3.9B | % of AUMperformance | none reported |
| PNC REAL ESTATE | LOUISVILLE | $3.6B | other | yes, reported |
| RENAISSANCE INVESTMENT MANAGEMENT | COVINGTON | $2.9B | % of AUM | none reported |
| STEGNER INVESTMENT ASSOCIATES INC | LOUISVILLE | $2.8B | % of AUMfixed | none reported |
| KEYSTONE FINANCIAL GROUP, LLC | LEXINGTON | $2.3B | % of AUMhourlyfixed | none reported |
| E. S. BARR & COMPANY | LEXINGTON | $2.2B | % of AUMperformance | none reported |
| JOURNEY ADVISORY GROUP, LLC | COVINGTON | $1.7B | % of AUMhourlyfixed | none reported |
| THE GLEASON GROUP, INC. | PROSPECT | $1.6B | % of AUM | none reported |
| LEGACY FINANCIAL ADVISORS, INC. | COVINGTON | $1.5B | % of AUMfixed | none reported |
| CULLINAN ASSOCIATES, INC. | LOUISVILLE | $1.5B | % of AUMfixed | none reported |
| STRATEGIC WEALTH INVESTMENT GROUP, LLC | LOUISVILLE | $1.4B | % of AUMhourly | none reported |
| PRIVATE CLIENT SERVICES, LLC | LOUISVILLE | $1.4B | % of AUMhourlyfixed | yes, reported |
| BARLOW WEALTH PARTNERS, LLC | LOUISVILLE | $1.4B | % of AUMhourlyfixed | none reported |
| KPP ADVISORY SERVICES LLC | LOUISVILLE | $1.2B | % of AUMhourlyfixed | none reported |
| PARTHENON LLC | LOUISVILLE | $1.2B | % of AUMperformance | yes, reported |
| WAYCROSS PARTNERS, LLC | LOUISVILLE | $1.2B | % of AUMfixed | none reported |
| HARVEY INVESTMENT COMPANY, LLC | LOUISVILLE | $1.0B | % of AUMfixed | yes, reported |
| DUPREE & COMPANY, INC. | LEXINGTON | $888M | % of AUM | none reported |
| CASTELLAN | LOUISVILLE | $882M | % of AUMhourlyfixedperformance | none reported |
| ASIO CAPITAL LLC | LEXINGTON | $805M | % of AUMother | none reported |
| SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C. | NICHOLASVILLE | $801M | % of AUMfixed | none reported |
| BALLAST, INC. | LEXINGTON | $752M | % of AUMhourlyfixedother | none reported |
| RAMSEY QUANTITATIVE SYSTEMS, INC. | LOUISVILLE | $691M | % of AUMperformance | none reported |
| SALING WEALTH ADVISORS | LOUISVILLE | $618M | % of AUMfixed | none reported |
| ATLAS BROWN | LOUISVILLE | $605M | % of AUMfixed | none reported |
| RELIANT WEALTH PLANNING, LLC | LOUISVILLE | $595M | % of AUMfixed | none reported |
| FIRST KENTUCKY SECURITIES CORP | LOUISVILLE | $566M | % of AUMhourlyfixedperformanceother | yes, reported |
| VAN LEEUWEN RETIREMENT & INVESTMENT SERVICES | RICHMOND | $559M | % of AUMhourlyfixed | none reported |
| ARISTIDES CAPITAL LLC | LOUISVILLE | $541M | % of AUMperformance | yes, reported |
| CHURCHILL FINANCIAL ADVISORS, LLC | LOUISVILLE | $523M | % of AUM | none reported |
| ALEXANDER INVESTMENT SERVICES CO. | LOUISVILLE | $496M | % of AUMfixed | yes, reported |
| LEGACY FINANCIAL INDEPENDENT ADVISORS LLC | LOUISVILLE | $484M | % of AUMhourlyfixed | none reported |
| JOULE FINANCIAL, LLC | LEXINGTON | $479M | % of AUMfixed | none reported |
| RETIREMENT PLANNING SOLUTIONS, LLC | LOUISVILLE | $467M | % of AUMhourlyfixed | none reported |
| ALPHA FINANCIAL PARTNERS LLC | LEXINGTON | $460M | % of AUMhourlyfixed | none reported |
| OWEN LARUE FINANCIAL GROUP | ELIZABETHTOWN | $459M | % of AUMhourlyfixed | none reported |
| PARAGON PRIVATE WEALTH MANAGEMENT LLC | LEXINGTON | $458M | % of AUMfixed | none reported |
| GUIDANCE CAPITAL, INC. | LOUISVILLE | $450M | % of AUMhourlyfixed | none reported |
| ALTUS WEALTH MANAGEMENT, LLC | FT. MITCHELL | $405M | % of AUMhourly | none reported |
| DUPREE FINANCIAL GROUP, LLC | LEXINGTON | $404M | % of AUM | yes, reported |
| TONY WALKER FINANCIAL | BOWLING GREEN | $374M | % of AUM | none reported |
| DYNAMIC MARKET ADVANTAGE, LLC | LOUISVILLE | $362M | % of AUM | none reported |
| PILLAR FINANCIAL ADVISORS, LLC | LOUISVILLE | $358M | % of AUMfixed | none reported |
| ACCESS WEALTH MANAGEMENT, LLC | LOUISVILLE | $358M | % of AUMperformance | none reported |
| FWG INVESTMENTS, LLC | LEXINGTON | $349M | % of AUMfixed | yes, reported |
| J. HAGAN CAPITAL, INC. | LOUISVILLE | $342M | % of AUMhourlyfixed | yes, reported |
Source: SEC Form ADV monthly data, firms reporting a Kentuckyheadquarters address. Fee-method chips are the compensation arrangements each firm checked on Item 5.E; the disclosure column is the firm's own answer to Item 11. Click through to any firm for the full record and a link to its SEC detail page.
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