Skip to content
INVESTORTRUST HUB
My InvestorMy TrustHub

InvestorTrustHub specialist search

Research investment advisers

What do you want to find out?

Natural language is mapped to bounded SEC/IARD and Form ADV research. Registration is not endorsement, and missing evidence is not a clean history.

We interpreted your question as

Research task
firm discovery
Firm class
RIA + ERA (separate classes)
office state
KY — APPLIED

Natural-language parsing and regulatory execution stay separate. Change the question and resubmit.

Distribution

  • Matching firm facts89

form_adv_firm_facts rows matching filters

  1. KEYSTONE FINANCIAL GROUP, LLC

    Registered investment adviser (RIA)
    CRD
    170201
    Principal office
    LEXINGTON, KY, 40503
    RAUM (Item 5F(2)(c))
    $2.3 billion ($2,338,235,877.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Hourly charges; Fixed fees
    Latest ADV filing in extract
    2026-03-17
    Source status text
    Approved

    Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Kentucky.

    Evidence available

    SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.

    Research identity — public firm report not currently published.

    Trace this result
    Identity
    Firm CRD 170201; Registered investment adviser (RIA)
    Source as of
    Official publication date not established
    Geography meaning
    Recorded principal office, not client geography, registration jurisdiction or service territory
    Publication
    No public research profile is currently published for this identity

    RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.

    Open firm search for this CRD

  2. KPP ADVISORY SERVICES LLC

    Registered investment adviser (RIA)
    CRD
    289507
    Principal office
    LOUISVILLE, KY, 40222
    RAUM (Item 5F(2)(c))
    $1.2 billion ($1,241,011,682.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Hourly charges; Fixed fees
    Latest ADV filing in extract
    2026-05-28
    Source status text
    Approved

    Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Kentucky.

    Evidence available

    SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.

    Research identity — public firm report not currently published.

    Trace this result
    Identity
    Firm CRD 289507; Registered investment adviser (RIA)
    Source as of
    Official publication date not established
    Geography meaning
    Recorded principal office, not client geography, registration jurisdiction or service territory
    Publication
    No public research profile is currently published for this identity

    RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.

    Open firm search for this CRD

  3. LANIER ASSET MANAGEMENT, LLC

    Registered investment adviser (RIA)
    CRD
    150888
    Principal office
    LOUISVILLE, KY, 40222
    RAUM (Item 5F(2)(c))
    $141.7 million ($141,686,194.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Fixed fees
    Latest ADV filing in extract
    2026-05-26
    Source status text
    Approved

    Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Kentucky.

    Evidence available

    SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.

    Research identity — public firm report not currently published.

    Trace this result
    Identity
    Firm CRD 150888; Registered investment adviser (RIA)
    Source as of
    Official publication date not established
    Geography meaning
    Recorded principal office, not client geography, registration jurisdiction or service territory
    Publication
    No public research profile is currently published for this identity

    RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.

    Open firm search for this CRD

  4. LEGACY FINANCIAL ADVISORS, INC.

    Registered investment adviser (RIA)
    CRD
    158675
    Principal office
    COVINGTON, KY, 41011
    RAUM (Item 5F(2)(c))
    $1.5 billion ($1,515,563,474.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Fixed fees
    Latest ADV filing in extract
    2026-07-17
    Source status text
    Approved

    Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Kentucky.

    Evidence available

    SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.

    Research identity — public firm report not currently published.

    Trace this result
    Identity
    Firm CRD 158675; Registered investment adviser (RIA)
    Source as of
    Official publication date not established
    Geography meaning
    Recorded principal office, not client geography, registration jurisdiction or service territory
    Publication
    No public research profile is currently published for this identity

    RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.

    Open firm search for this CRD

  5. LEGACY FINANCIAL INDEPENDENT ADVISORS LLC

    Registered investment adviser (RIA)
    CRD
    324258
    Principal office
    LOUISVILLE, KY, 40207
    RAUM (Item 5F(2)(c))
    $484.0 million ($484,012,911.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Hourly charges; Fixed fees
    Latest ADV filing in extract
    2026-03-30
    Source status text
    Approved

    Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Kentucky.

    Evidence available

    SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.

    Research identity — public firm report not currently published.

    Trace this result
    Identity
    Firm CRD 324258; Registered investment adviser (RIA)
    Source as of
    Official publication date not established
    Geography meaning
    Recorded principal office, not client geography, registration jurisdiction or service territory
    Publication
    No public research profile is currently published for this identity

    RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.

    Open firm search for this CRD

  6. LFG WEALTH PARTNERS, LLC

    Registered investment adviser (RIA)
    CRD
    331339
    Principal office
    ELIZABETHTOWN, KY, 42701
    RAUM (Item 5F(2)(c))
    $190.7 million ($190,676,829.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Fixed fees
    Latest ADV filing in extract
    2026-02-09
    Source status text
    Approved

    Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Kentucky.

    Evidence available

    SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.

    Research identity — public firm report not currently published.

    Trace this result
    Identity
    Firm CRD 331339; Registered investment adviser (RIA)
    Source as of
    Official publication date not established
    Geography meaning
    Recorded principal office, not client geography, registration jurisdiction or service territory
    Publication
    No public research profile is currently published for this identity

    RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.

    Open firm search for this CRD

  7. LOCKSHIELD PARTNERS, INC.

    Registered investment adviser (RIA)
    CRD
    175433
    Principal office
    GLASGOW, KY, 42141
    RAUM (Item 5F(2)(c))
    $290.6 million ($290,617,759.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Hourly charges; Fixed fees
    Latest ADV filing in extract
    2026-03-12
    Source status text
    Approved

    Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Kentucky.

    Evidence available

    SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.

    Research identity — public firm report not currently published.

    Trace this result
    Identity
    Firm CRD 175433; Registered investment adviser (RIA)
    Source as of
    Official publication date not established
    Geography meaning
    Recorded principal office, not client geography, registration jurisdiction or service territory
    Publication
    No public research profile is currently published for this identity

    RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.

    Open firm search for this CRD

  8. MAGNATE ADVISORY SERVICES, LLC

    Registered investment adviser (RIA)
    CRD
    283056
    Principal office
    LOUISVILLE, KY, 40243
    RAUM (Item 5F(2)(c))
    $314.1 million ($314,131,225.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Hourly charges; Fixed fees
    Latest ADV filing in extract
    2026-03-30
    Source status text
    Approved

    Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Kentucky.

    Evidence available

    SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.

    Research identity — public firm report not currently published.

    Trace this result
    Identity
    Firm CRD 283056; Registered investment adviser (RIA)
    Source as of
    Official publication date not established
    Geography meaning
    Recorded principal office, not client geography, registration jurisdiction or service territory
    Publication
    No public research profile is currently published for this identity

    RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.

    Open firm search for this CRD

  9. MCF ADVISORS, LLC

    Registered investment adviser (RIA)
    CRD
    130372
    Principal office
    LEXINGTON, KY, 40507
    RAUM (Item 5F(2)(c))
    $4.7 billion ($4,684,530,591.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Hourly charges; Fixed fees
    Latest ADV filing in extract
    2026-05-28
    Source status text
    Approved

    Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Kentucky.

    Evidence available

    SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.

    Research identity — public firm report not currently published.

    Trace this result
    Identity
    Firm CRD 130372; Registered investment adviser (RIA)
    Source as of
    Official publication date not established
    Geography meaning
    Recorded principal office, not client geography, registration jurisdiction or service territory
    Publication
    No public research profile is currently published for this identity

    RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.

    Open firm search for this CRD

  10. MERCURIO WEALTH ADVISORS

    Registered investment adviser (RIA)
    CRD
    283632
    Principal office
    LOUISVILLE, KY, 40222
    RAUM (Item 5F(2)(c))
    $141.1 million ($141,065,289.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Fixed fees
    Latest ADV filing in extract
    2026-03-04
    Source status text
    Approved

    Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Kentucky.

    Evidence available

    SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.

    Research identity — public firm report not currently published.

    Trace this result
    Identity
    Firm CRD 283632; Registered investment adviser (RIA)
    Source as of
    Official publication date not established
    Geography meaning
    Recorded principal office, not client geography, registration jurisdiction or service territory
    Publication
    No public research profile is currently published for this identity

    RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.

    Open firm search for this CRD

  11. MERIDIAN WEALTH MANAGEMENT, LLC

    Registered investment adviser (RIA)
    CRD
    151523
    Principal office
    LEXINGTON, KY, 40507
    RAUM (Item 5F(2)(c))
    $5.0 billion ($4,983,377,516.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Hourly charges; Fixed fees
    Latest ADV filing in extract
    2026-03-31
    Source status text
    Approved

    Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Kentucky.

    Evidence available

    SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.

    Research identity — public firm report not currently published.

    Trace this result
    Identity
    Firm CRD 151523; Registered investment adviser (RIA)
    Source as of
    Official publication date not established
    Geography meaning
    Recorded principal office, not client geography, registration jurisdiction or service territory
    Publication
    No public research profile is currently published for this identity

    RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.

    Open firm search for this CRD

  12. MIDDLEGROUND CAPITAL

    Registered investment adviser (RIA)
    CRD
    297235
    Principal office
    LEXINGTON, KY, 40511
    RAUM (Item 5F(2)(c))
    $3.9 billion ($3,887,849,106.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Performance-based fees
    Latest ADV filing in extract
    2026-05-21
    Source status text
    Approved

    Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Kentucky.

    Evidence available

    SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.

    Research identity — public firm report not currently published.

    Trace this result
    Identity
    Firm CRD 297235; Registered investment adviser (RIA)
    Source as of
    Official publication date not established
    Geography meaning
    Recorded principal office, not client geography, registration jurisdiction or service territory
    Publication
    No public research profile is currently published for this identity

    RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.

    Open firm search for this CRD

  13. MONEYWATCH ADVISORS, INC.

    Registered investment adviser (RIA)
    CRD
    107337
    Principal office
    LEXINGTON, KY, 40508
    RAUM (Item 5F(2)(c))
    $329.7 million ($329,735,069.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Hourly charges; Fixed fees
    Latest ADV filing in extract
    2026-03-25
    Source status text
    Approved

    Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Kentucky.

    Evidence available

    SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.

    Research identity — public firm report not currently published.

    Trace this result
    Identity
    Firm CRD 107337; Registered investment adviser (RIA)
    Source as of
    Official publication date not established
    Geography meaning
    Recorded principal office, not client geography, registration jurisdiction or service territory
    Publication
    No public research profile is currently published for this identity

    RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.

    Open firm search for this CRD

  14. OAK PROOF MANAGEMENT LLC

    Exempt reporting adviser (ERA)
    CRD
    335186
    Principal office
    LOUISVILLE, KY, 40291
    RAUM (Item 5F(2)(c))
    ERA filers do not file Item 5F(2)(c) RAUM
    Compensation methods (Item 5.E)
    Not a Y/N method list on this card
    Latest ADV filing in extract
    2026-04-15
    Source status text
    ERA - Active

    Why this matched. This firm matches because it is classified as an ERA in the current SEC/IARD roster, it reports its principal office in Kentucky.

    Evidence available

    SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.

    Research identity — public firm report not currently published.

    Trace this result
    Identity
    Firm CRD 335186; Exempt reporting adviser (ERA)
    Source as of
    Official publication date not established
    Geography meaning
    Recorded principal office, not client geography, registration jurisdiction or service territory
    Publication
    No public research profile is currently published for this identity

    RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.

    Open firm search for this CRD

  15. OWEN LARUE FINANCIAL GROUP

    Registered investment adviser (RIA)
    CRD
    289436
    Principal office
    ELIZABETHTOWN, KY, 42701
    RAUM (Item 5F(2)(c))
    $458.9 million ($458,861,120.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Hourly charges; Fixed fees
    Latest ADV filing in extract
    2026-07-17
    Source status text
    Approved

    Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Kentucky.

    Evidence available

    SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.

    Research identity — public firm report not currently published.

    Trace this result
    Identity
    Firm CRD 289436; Registered investment adviser (RIA)
    Source as of
    Official publication date not established
    Geography meaning
    Recorded principal office, not client geography, registration jurisdiction or service territory
    Publication
    No public research profile is currently published for this identity

    RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.

    Open firm search for this CRD

  16. PARAGON PRIVATE WEALTH MANAGEMENT LLC

    Registered investment adviser (RIA)
    CRD
    312817
    Principal office
    LEXINGTON, KY, 40507
    RAUM (Item 5F(2)(c))
    $457.9 million ($457,884,918.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Fixed fees
    Latest ADV filing in extract
    2026-03-19
    Source status text
    Approved

    Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Kentucky.

    Evidence available

    SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.

    Research identity — public firm report not currently published.

    Trace this result
    Identity
    Firm CRD 312817; Registered investment adviser (RIA)
    Source as of
    Official publication date not established
    Geography meaning
    Recorded principal office, not client geography, registration jurisdiction or service territory
    Publication
    No public research profile is currently published for this identity

    RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.

    Open firm search for this CRD

  17. PARTHENON LLC

    Registered investment adviser (RIA)
    CRD
    107794
    Principal office
    LOUISVILLE, KY, 40222
    RAUM (Item 5F(2)(c))
    $1.2 billion ($1,217,505,630.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Performance-based fees
    Latest ADV filing in extract
    2026-01-21
    Source status text
    Approved

    Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Kentucky.

    Evidence available

    SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.

    Research identity — public firm report not currently published.

    Trace this result
    Identity
    Firm CRD 107794; Registered investment adviser (RIA)
    Source as of
    Official publication date not established
    Geography meaning
    Recorded principal office, not client geography, registration jurisdiction or service territory
    Publication
    No public research profile is currently published for this identity

    RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.

    Open firm search for this CRD

  18. PILLAR FINANCIAL ADVISORS, LLC

    Registered investment adviser (RIA)
    CRD
    121880
    Principal office
    LOUISVILLE, KY, 40220
    RAUM (Item 5F(2)(c))
    $357.9 million ($357,868,054.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Fixed fees
    Latest ADV filing in extract
    2026-07-16
    Source status text
    Approved

    Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Kentucky.

    Evidence available

    SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.

    Research identity — public firm report not currently published.

    Trace this result
    Identity
    Firm CRD 121880; Registered investment adviser (RIA)
    Source as of
    Official publication date not established
    Geography meaning
    Recorded principal office, not client geography, registration jurisdiction or service territory
    Publication
    No public research profile is currently published for this identity

    RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.

    Open firm search for this CRD

  19. PNC REAL ESTATE

    Registered investment adviser (RIA)
    CRD
    172753
    Principal office
    LOUISVILLE, KY, 40202
    RAUM (Item 5F(2)(c))
    $3.6 billion ($3,553,308,062.00)
    Compensation methods (Item 5.E)
    Other
    Latest ADV filing in extract
    2026-06-08
    Source status text
    Approved

    Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Kentucky.

    Evidence available

    SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.

    Trace this result
    Identity
    Firm CRD 172753; Registered investment adviser (RIA)
    Source as of
    Official publication date not established
    Geography meaning
    Recorded principal office, not client geography, registration jurisdiction or service territory
    Publication
    Public research profile published

    RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.

    Research this adviser

  20. PRINCIPLED WEALTH ADVISORS, LLC

    Registered investment adviser (RIA)
    CRD
    138143
    Principal office
    COVINGTON, KY, 41011-1513
    RAUM (Item 5F(2)(c))
    $252.1 million ($252,109,486.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Fixed fees
    Latest ADV filing in extract
    2026-06-22
    Source status text
    Approved

    Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Kentucky.

    Evidence available

    SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.

    Trace this result
    Identity
    Firm CRD 138143; Registered investment adviser (RIA)
    Source as of
    Official publication date not established
    Geography meaning
    Recorded principal office, not client geography, registration jurisdiction or service territory
    Publication
    Public research profile published

    RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.

    Research this adviser
Trace this query
office state
Requested: KY; APPLIED; effective: KY. Recorded principal office, not client geography, registration jurisdiction or service territory. Field/capability: branches.region (is_main_office)
Contract
investor-ask-v1
Source dataset
Not established for all returned rows
Official as-of / retrieved
Not established for all returned rows / 2026-08-18
Source clock meaning
Source releases attached to returned firm facts; unknown publication dates remain unknown. Release labels are not converted to official effective dates.

sec_ia_ria; release label 2026-08-03; official publication not established; retrieved 2026-08-18; fingerprint not recorded.

sec_ia_era; release label 2026-08-03; official publication not established; retrieved 2026-08-18; fingerprint not recorded.

Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
RAUM units
USD as reported on Form ADV Item 5F(2)(c)
Compensation taxonomy
Form ADV Item 5.E(1)–5.E(7) Y/N methods
Identifier method
Not an identifier query
Elapsed
164 ms
  • Ask does not invent firm facts. Results come from the current SEC/IARD extract.
  • RIA is not ERA. Counts stay in their class.
  • Principal office is not client geography.
  • RAUM is Item 5F(2)(c), not performance.
  • Item 5.E methods are not fee amounts.
  • Missing disclosure is not a clean history.
  • Public firm reports are a publication gate (Wave-1), not a ranking.