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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. VAN LEEUWEN RETIREMENT & INVESTMENT SERVICES

    Registered investment adviser (RIA)
    CRD
    289463
    Principal office
    RICHMOND, KY, 40475
    RAUM (Item 5F(2)(c))
    $559.4 million ($559,416,819.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Hourly charges; 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 289463; 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. VF ADVISORS, LLC

    Registered investment adviser (RIA)
    CRD
    334305
    Principal office
    LOUISVILLE, KY, 40202
    RAUM (Item 5F(2)(c))
    $150.0 million ($150,000,000.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Performance-based fees; Other
    Latest ADV filing in extract
    2026-03-13
    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 334305; 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. WALLACE HART CAPITAL MANAGEMENT

    Registered investment adviser (RIA)
    CRD
    285981
    Principal office
    LEXINGTON, KY, 40509
    RAUM (Item 5F(2)(c))
    $264.0 million ($264,001,265.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Performance-based fees
    Latest ADV filing in extract
    2026-03-24
    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 285981; 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. WARLOCK LTD.

    Exempt reporting adviser (ERA)
    CRD
    342413
    Principal office
    LOUISVILLE, KY, 40202
    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
    2026-04-23
    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 342413; 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

  5. WAYCROSS GP, LLC

    Registered investment adviser (RIA)
    CRD
    339521
    Principal office
    LOUISVILLE, KY, 40222
    RAUM (Item 5F(2)(c))
    $156.1 million ($156,075,000.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Fixed fees; Performance-based fees
    Latest ADV filing in extract
    2026-02-25
    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 339521; 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. WAYCROSS PARTNERS, LLC

    Registered investment adviser (RIA)
    CRD
    153838
    Principal office
    LOUISVILLE, KY, 40222
    RAUM (Item 5F(2)(c))
    $1.2 billion ($1,182,922,452.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Fixed fees
    Latest ADV filing in extract
    2026-06-02
    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 153838; 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. WEALTH MANAGEMENT OF THE BLUEGRASS, LLC.

    Registered investment adviser (RIA)
    CRD
    289163
    Principal office
    LEXINGTON, KY, 40503
    RAUM (Item 5F(2)(c))
    $186.7 million ($186,724,518.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Fixed fees
    Latest ADV filing in extract
    2026-03-20
    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 289163; 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. WEALTHMD CORPORATION

    Registered investment adviser (RIA)
    CRD
    140498
    Principal office
    LOUISVILLE, KY, 40205
    RAUM (Item 5F(2)(c))
    $250.5 million ($250,521,809.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management
    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 140498; 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. WINEBRENNER CAPITAL MANAGEMENT LLC

    Registered investment adviser (RIA)
    CRD
    154708
    Principal office
    LOUISVILLE, KY, 40223-5367
    RAUM (Item 5F(2)(c))
    $260.5 million ($260,471,771.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Performance-based fees
    Latest ADV filing in extract
    2026-03-05
    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 154708; 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
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
200 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.