Firms

Research an investment firm

Search SEC/IARD adviser-firm records by firm name, CRD, SEC number, or location. We organize the official evidence. The consumer decides.

Sourced firms: 23,622
Reported as registered: 16,783
Pending / 120-Day: 235
Exempt reporting: 6,604
Latest sourced release: August 3, 2026 · retrieved August 18, 2026

89 sourced firms · query 47 ms

Reported as registered
DMLO WEALTH PLANNING, LLC
CRD 316202 · SEC 801-128291
LOUISVILLE, KY
Source release August 3, 2026 · retrieved August 18, 2026
Reported as registered
DUPREE & COMPANY, INC.
CRD 1697 · SEC 801-13157
LEXINGTON, KY
Source release August 3, 2026 · retrieved August 18, 2026
Reported as registered
DUPREE FINANCIAL GROUP, LLC
CRD 131091 · SEC 801-71497
LEXINGTON, KY
Source release August 3, 2026 · retrieved August 18, 2026
Reported as registered
DYNAMIC MARKET ADVANTAGE, LLC
CRD 323540 · SEC 801-126816
LOUISVILLE, KY
Source release August 3, 2026 · retrieved August 18, 2026
Reported as registered
E. S. BARR & COMPANY
CRD 107447 · SEC 801-42566
LEXINGTON, KY
Source release August 3, 2026 · retrieved August 18, 2026
Exempt Reporting Adviser
EGATEWAY CAPITAL, LLC
CRD 322765 · SEC 802-127870
COVINGTON, KY
Source release August 3, 2026 · retrieved August 18, 2026
Reported as registered
EQUITY ADVISORS OF KENTUCKY INC
CRD 116398 · SEC 801-112311
LEXINGTON, KY
Source release August 3, 2026 · retrieved August 18, 2026
Reported as registered
FAMILY WEALTH PLANNING PARTNERS
CRD 323656 · SEC 801-126996
LOUISVILLE, KY
Source release August 3, 2026 · retrieved August 18, 2026
Reported as registered
FIRST KENTUCKY SECURITIES CORP
CRD 7524 · SEC 801-67742
LOUISVILLE, KY
Source release August 3, 2026 · retrieved August 18, 2026
Reported as registered
FWG INVESTMENTS, LLC
CRD 284064 · SEC 801-112954
LEXINGTON, KY
Source release August 3, 2026 · retrieved August 18, 2026
Reported as registered
GRAETER WEALTH ADVISORS, LLC
CRD 170046 · SEC 801-135337
LOUISVILLE, KY
Source release August 3, 2026 · retrieved August 18, 2026
Reported as registered
GUIDANCE CAPITAL, INC.
CRD 323541 · SEC 801-126764
LOUISVILLE, KY
Source release August 3, 2026 · retrieved August 18, 2026
Pending / 120-Day Approval
HAFELE INVESTMENTS
CRD 341803 · SEC 801-136566
LOUISVILLE, KY
Source release August 3, 2026 · retrieved August 18, 2026
Reported as registered
HARVEY INVESTMENT COMPANY, LLC
CRD 110482 · SEC 801-58031
LOUISVILLE, KY
Source release August 3, 2026 · retrieved August 18, 2026
Reported as registered
INVEST INC.
CRD 146357 · SEC 801-122790
LEXINGTON, KY
Source release August 3, 2026 · retrieved August 18, 2026
Reported as registered
INVESTMENTS & FINANCIAL PLANNING, LLC
CRD 164333 · SEC 801-119021
LEXINGTON, KY
Source release August 3, 2026 · retrieved August 18, 2026
Reported as registered
ITRUST ASSET MANAGEMENT, LLC
CRD 164193 · SEC 801-115048
LEXINGTON, KY
Source release August 3, 2026 · retrieved August 18, 2026
Reported as registered
J. HAGAN CAPITAL, INC.
CRD 168467 · SEC 801-121718
LOUISVILLE, KY
Source release August 3, 2026 · retrieved August 18, 2026
Reported as registered
JENNINGS & ASSOCIATES FINANCIAL ADVISORS, LLC
CRD 312706 · SEC 801-128650
PADUCAH, KY
Source release August 3, 2026 · retrieved August 18, 2026
Reported as registered
JOURNEY ADVISORY GROUP, LLC
CRD 171919 · SEC 801-79934
COVINGTON, KY
Source release August 3, 2026 · retrieved August 18, 2026