150
Kentucky state IA firm CRDs, APPROVED
StateRgstn/Rgltr/@Cd=KY and @St=APPROVED. 151 StateRgstn rows include 1 TERMREQUEST, which is not in this count. A Kentucky office alone does not establish state registration.
InvestorTrustHub · Kentucky
Kentucky Investment Adviser & Securities Intelligence
The Kentucky Department of Financial Institutions, Securities Division regulates securities activity under the Securities Act of Kentucky, KRS 292. Licensing and Registration, Compliance, and Enforcement are separate branches. A registration, notice filing, examination, or order is reported source status, never an endorsement.
Four separate IAPD adviser lenses
State IA, federal notice, ERA and principal-office geography are distinct firm-CRD lenses. Counts below use regulator jurisdiction code KY, not a main-office address. APPROVED and FILED are IAPD status text, not a quality judgment. They cannot be summed, and they are not the December 31, 2025 DFI year-end tables.
1,528
Federal notice firm CRDs, FILED
NoticeFiled/States/@RgltrCd=KY and @St=FILED. Notice filing is not Kentucky state IA registration. Every filed row in this extract is FirmType Registered, not ERA. Source date 2026-09-17.
9
Active ERA firm CRDs
ERA/Rgltr/@Cd=KY and @St=ACTIVE. An exempt reporting adviser is not an SEC-registered RIA and not a state-registered IA.
89
Kentucky principal-office firms
Accepted SEC/IARD roster, 2026-08-27. Office geography is not Kentucky registration or notice filing, and this count was not recomputed from the 2026-09-17 compilation.
Exact firm-CRD intersections from the 2026-09-17 jurisdiction filters, kept separate: state IA APPROVED ∩ notice FILED 1; state IA ∩ ERA 0; ERA ∩ notice 0. The accepted principal-office overlay has no CRD list in this publication, so it is not intersected here. Exact SEC-file intersections: NOT_ACQUIRED. Of the 151 Kentucky StateRgstn records, 47 print a Kentucky main office and 104 do not. That address split is not the registration count and is not the accepted-roster count of 89.
DFI year-end 2025, a different clock
The DFI 2025 annual report prints December 31 totals. These are not IAPD CRD counts. Flow rows are printed beside the year-end total and are not added here.
159
State-registered IA firms, year-end
Renewed 153, approved 19, terminated 13. Prior year-end 164. This 159 is not the IAPD APPROVED count of 150.
1,430
Effective federal-covered notice filings
Renewed 1,394. The report does not print the new, withdrawn, failed-to-renew, and terminated components. This 1,430 is not the IAPD FILED count of 1,528.
1,382
Broker-dealer firms, year-end
Renewed 1,390, approved 52, withdrawals from BDW 60. Not an adviser count. A Kentucky CRD roster of these firms was NOT_ACQUIRED.
182,894
Broker-dealer agent registrations
The at-a-glance label Securities Professionals prints this same 182,894. Persons, not firms. Issuer-agent registrations are a separate printed 2, with approved and terminated printed as 0.
Investment adviser representatives, state and federal combined, year-end 7,359. Renewed 6,806. The report does not split state from federal, and it does not print the flow components. An IAR is a person. This is not the 182,894 broker-dealer agent registrations. DFI also prints 9 broker-dealers and 90 investment advisers on headquarters name lists. Those rows have no CRD column, are not the year-end totals, and are not the accepted-roster 89. Names are not published here. Exact CRD attachments: 0. Name-only adverse joins: 0.
Examinations, enforcement and filings
The Compliance Branch examines broker-dealers and investment advisers. For 2025 the report prints 2 broker-dealer examinations, 46 investment-advisory examinations, and 48 total. Orders or agreements entered from examinations: 3. An examination is not a violation, and those 3 are not the 11 administrative orders. Provider-level exam rows: NOT_ACQUIRED.
Enforcement branch, same December 31, 2025 clock: referrals or assistance to outside agencies 43; referrals from outside agencies 39; investigations opened 167, closed 149, pending 128. Administrative orders 11. Civil orders print 0. Fines $39,000. Restitution ordered $15,000. A nationwide Vanguard order dated 2025-06-17 prints $146,410,000; Kentucky's allocation was not determined. Criminal referrals 6. Criminal indictments print 0. The row labeled "Investigations with Federal/State Law" prints 3. The Securities Enforcement Actions index was not parsed into order rows. Exact adverse attachments: 0. An index link is not a finding.
Corporation-finance filings, not companies: private placements 56; investment-company new 164; investment-company renewals 3,387; unit investment trusts 976; Regulation D, Rule 506 1,043; claims of exemption 47; Regulation A, Tier 2 64. Printed total 5,737. Complaint intake is described. Provider complaint rows and outcomes: NOT_ACQUIRED. A complaint is not a finding.
Source clocks and gaps
Accepted national principal-office roster: 2026-08-27, retrieved 2026-08-28. IAPD jurisdiction filters: 2026-09-17, filtered 2026-10-05. DFI annual report clock: 2025-12-31, retrieved 2026-10-05. There is no universal Kentucky securities as-of date.
DFI bulk CRD rosters for broker-dealers, agents and IARs, the order-document corpus, exact SEC-file intersections, provider exam rows and complaint outcomes: NOT_ACQUIRED. New canonical firms: 0. Graph writes: 0. Claim eligibility changes: 0. Louisville and Lexington stay statewide. No city pages, scores or adviser ranking.
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