Top RIAs in Kentucky
Every SEC-registered RIA with a main office in Kentucky, by regulatory AUM, from Form ADV
85 RIAs registered with the SEC are headquartered in Kentucky, the 30th most of any state, managing $80.5B in regulatory assets as of Sep 1, 2026. The largest by regulatory AUM is River Road Asset Management, LLC in Louisville at $9.9B. 21 firms report $1 billion or more.
85
SEC-registered RIAs
$80.5B
Regulatory AUM
21
Firms at $1B and above
$404.4M
Median firm AUM
Data as of Sep 1, 2026, file ia09012026-registered.zip. Retrieved Sep 10, 2026.
01 · The firms
Every SEC-registered RIA in Kentucky, by regulatory AUM
The default sort is regulatory assets under management as each firm filed it, which puts asset managers and wealth managers on one list. The toggle for firms where individuals and high-net-worth individuals hold the majority of assets is what separates them, using the firm's own Form ADV Item 5.D figures.
All 85 firms, by regulatory AUM as filed.
| # | Firm | City | Regulatory AUM | Advisory staff | Accounts | Individual + HNW clients | Retail share | Filed |
|---|---|---|---|---|---|---|---|---|
| 1 | River Road Asset Management, LLCCRD 134918 | Louisville | $9.9B | 22 | 93 | 21 | 1% | Mar 2026 |
| 2 | Todd Asset Management LLCCRD 109473 | Louisville | $6.2B | 6 | 104 | 43 | 4% | Mar 2026 |
| 3 | Meridian Wealth Management, LLCCRD 151523 | Lexington | $5.0B | 59 | 12,298 | 5,366 | 87% | Mar 2026 |
| 4 | MCF Advisors, LLCCRD 130372 | Lexington | $4.7B | 30 | 7,540 | 3,440 | 55% | Aug 2026 |
| 5 | Middleground CapitalCRD 297235 | Lexington | $3.9B | 38 | 24 | n.d. | 0% | May 2026 |
| 6 | PNC Real EstateCRD 172753 | Louisville | $3.6B | 186 | 72 | n.d. | 0% | Jun 2026 |
| 7 | Renaissance Investment ManagementCRD 105916 | Covington | $2.9B | 7 | 2,085 | 214 | 9% | Apr 2026 |
| 8 | Stegner Investment Associates IncCRD 107480 | Louisville | $2.8B | 5 | 820 | 202 | 24% | Mar 2026 |
| 9 | Keystone Financial Group, LLCCRD 170201 | Lexington | $2.3B | 33 | 6,628 | 6,602 | 98% | Mar 2026 |
| 10 | E. S. Barr & CompanyCRD 107447 | Lexington | $2.2B | 3 | 886 | 398 | 85% | Mar 2026 |
| 11 | Journey Advisory Group, LLCCRD 171919 | Covington | $1.7B | 15 | 2,113 | 859 | 96% | Aug 2026 |
| 12 | The Gleason Group, Inc.CRD 175104 | Prospect | $1.6B | 5 | 1,109 | 262 | 98% | Jun 2026 |
| 13 | Legacy Financial Advisors, Inc.CRD 158675 | Covington | $1.5B | 12 | 3,721 | 1,061 | 99% | Jul 2026 |
| 14 | Cullinan Associates, Inc.CRD 108340 | Louisville | $1.5B | 8 | 632 | 599 | 90% | Mar 2026 |
| 15 | Strategic Wealth Investment Group, LLCCRD 165474 | Louisville | $1.4B | 41 | 8,606 | 3,900 | 100% | Mar 2026 |
| 16 | Private Client Services, LLCCRD 120222 | Louisville | $1.4B | 50 | 8,765 | 8,723 | 99% | Mar 2026 |
| 17 | Barlow Wealth Partners, LLCCRD 325308 | Louisville | $1.4B | 6 | 1,425 | 403 | 94% | Mar 2026 |
| 18 | KPP Advisory Services LLCCRD 289507 | Louisville | $1.2B | 26 | 3,995 | 3,995 | 100% | May 2026 |
| 19 | Parthenon LLCCRD 107794 | Louisville | $1.2B | 5 | 461 | 219 | 88% | Jan 2026 |
| 20 | Waycross Partners, LLCCRD 153838 | Louisville | $1.2B | 7 | 51 | 12 | 3% | Jun 2026 |
| 21 | Harvey Investment Company, LLCCRD 110482 | Louisville | $1.0B | 4 | 264 | 176 | 89% | Aug 2026 |
| 22 | Dupree & Company, Inc.CRD 1697 | Lexington | $888.2M | 4 | 1 | n.d. | 0% | Feb 2026 |
| 23 | CastellanCRD 299363 | Louisville | $882.2M | 4 | 106 | 12 | 74% | Mar 2026 |
| 24 | Spectrum Financial Alliance, Ltd., L.L.C.CRD 125147 | Nicholasville | $813.0M | 3 | 2,056 | 674 | 100% | Aug 2026 |
| 25 | Asio Capital LLCCRD 298326 | Lexington | $805.1M | 6 | 700 | 280 | 89% | Mar 2026 |
| 26 | Ballast, Inc.CRD 152695 | Lexington | $751.5M | 8 | 1,888 | 454 | 95% | Jul 2026 |
| 27 | Ramsey Quantitative Systems, Inc.CRD 175257 | Louisville | $691.4M | 8 | 39 | 0 | 0% | Jun 2026 |
| 28 | Saling Wealth AdvisorsCRD 283226 | Louisville | $617.7M | 9 | 895 | 227 | 94% | Mar 2026 |
| 29 | Atlas BrownCRD 133408 | Louisville | $605.2M | 6 | 1,194 | 440 | 92% | Mar 2026 |
| 30 | Reliant Wealth Planning, LLCCRD 286230 | Louisville | $595.2M | 6 | 1,701 | 1,700 | 100% | Mar 2026 |
| 31 | First Kentucky Securities CorpCRD 7524 | Louisville | $566.0M | 16 | 1,530 | 1,521 | 98% | Dec 2025 |
| 32 | Van Leeuwen Retirement & Investment ServicesCRD 289463 | Richmond | $559.4M | 2 | 1,231 | 700 | 98% | Aug 2026 |
| 33 | Aristides Capital LLCCRD 162368 | Louisville | $541.4M | 8 | 5 | n.d. | 0% | May 2026 |
| 34 | Churchill Financial Advisors, LLCCRD 333071 | Louisville | $522.9M | 3 | 279 | 108 | 100% | Mar 2026 |
| 35 | Alexander Investment Services Co.CRD 1037 | Louisville | $496.3M | 10 | 1,250 | 1,240 | 97% | Mar 2026 |
| 36 | Legacy Financial Independent Advisors LLCCRD 324258 | Louisville | $484.0M | 5 | 2,614 | 741 | 99% | Mar 2026 |
| 37 | Retirement Planning Solutions, LLCCRD 311575 | Louisville | $467.0M | 5 | 2,812 | 1,210 | 100% | Jul 2026 |
| 38 | Alpha Financial Partners LLCCRD 306639 | Lexington | $459.9M | 5 | 1,424 | 361 | 75% | Jul 2026 |
| 39 | Owen Larue Financial GroupCRD 289436 | Elizabethtown | $458.9M | 4 | 1,509 | 840 | 79% | Jul 2026 |
| 40 | Paragon Private Wealth Management LLCCRD 312817 | Lexington | $457.9M | 2 | 711 | 167 | 93% | Mar 2026 |
| 41 | Guidance Capital, Inc.CRD 323541 | Louisville | $449.8M | 7 | 2,048 | 756 | 100% | Apr 2026 |
| 42 | Altus Wealth Management, LLCCRD 153650 | Ft. Mitchell | $405.2M | 5 | 585 | 285 | 99% | Apr 2026 |
| 43 | Dupree Financial Group, LLCCRD 131091 | Lexington | $404.4M | 6 | 1,655 | 825 | 100% | Aug 2026 |
| 44 | Tony Walker FinancialCRD 145457 | Bowling Green | $373.7M | 4 | 2,754 | 1,828 | 100% | Jul 2026 |
| 45 | Dynamic Market Advantage, LLCCRD 323540 | Louisville | $361.9M | 3 | 1,302 | n.d. | 0% | Feb 2026 |
| 46 | Pillar Financial Advisors, LLCCRD 121880 | Louisville | $357.9M | 4 | 765 | 210 | 100% | Jul 2026 |
| 47 | Access Wealth Management, LLCCRD 339285 | Louisville | $357.7M | 3 | 819 | 157 | 93% | Apr 2026 |
| 48 | FWG Investments, LLCCRD 284064 | Lexington | $349.0M | 10 | 3,534 | 1,813 | 96% | May 2026 |
| 49 | J. Hagan Capital, Inc.CRD 168467 | Louisville | $341.8M | 10 | 1,689 | 785 | 87% | Jun 2026 |
| 50 | Moneywatch Advisors, Inc.CRD 107337 | Lexington | $329.7M | 3 | 384 | 384 | 100% | Mar 2026 |
02 · By city
Where in Kentucky the firms sit
Main-office city as filed. Up to the twenty-five cities with the most firms.
- Louisville44 · $43.9B
- Lexington22 · $24.4B
- Covington5 · $6.4B
- Prospect3 · $2.1B
- Elizabethtown2 · $649.5M
- Bellevue1 · $147.0M
- Bowling Green1 · $373.7M
- Crescent Springs1 · $160.8M
- Ft. Mitchell1 · $405.2M
- Glasgow1 · $290.6M
- Mt. Sterling1 · $148.3M
- Nicholasville1 · $813.0M
- Paducah1 · $240.1M
- Richmond1 · $559.4M
03 · Questions
Questions people ask about RIAs in Kentucky
- How many RIAs are in Kentucky?
- 85 RIAs registered with the SEC list a main office in Kentucky in the SEC's Form ADV data as of Sep 1, 2026. That count excludes state-registered RIAs, which generally manage under $100 million and file with the state rather than the SEC, and firms whose address is suppressed on Form ADV.
- What is the largest RIA in Kentucky?
- By regulatory assets under management as filed on Form ADV, the largest SEC-registered RIA headquartered in Kentucky is River Road Asset Management, LLC in Louisville, at $9.9B. Regulatory AUM counts all assets a firm manages, so the largest filer in a state is often an asset manager rather than a wealth manager.
- How many Kentucky RIAs manage more than $1 billion?
- 21 of the 85 SEC-registered RIAs headquartered in Kentucky report regulatory assets under management of $1 billion or more. The median firm in the state reports $404.4M.
- Where does this data come from?
- From the SEC's monthly Form ADV data file for SEC-registered investment advisers (ia09012026-registered.zip, data as of Sep 1, 2026). Each figure is as the firm itself reported it on Form ADV Item 5; the SEC does not verify it. Every row links to the firm's record on the SEC's Investment Adviser Public Disclosure site.
Definitions and source
What each column means, in the SEC's words
- Regulatory assets under management Form ADV Item 5.F(2)(c)
- If yes, what is the amount of your regulatory assets under management and total number of accounts? Total, discretionary plus non-discretionary.
- Total accounts Form ADV Item 5.F(2)(f)
- Total number of accounts, discretionary plus non-discretionary.
- Employees Form ADV Item 5.A
- Approximately how many employees do you have? Include full- and part-time employees but do not include any clerical workers.
- Advisory employees Form ADV Item 5.B(1)
- Approximately how many of the employees reported in 5.A. perform investment advisory functions (including research)?
- Broker-dealer registered representatives Form ADV Item 5.B(2)
- Approximately how many of the employees reported in 5.A. are registered representatives of a broker-dealer?
- Individual and high-net-worth clients Form ADV Item 5.D(a), 5.D(b)
- Number of clients and amount of regulatory assets under management for individuals (other than high net worth individuals) and for high net worth individuals.
- Commissions Form ADV Item 5.E(5)
- You are compensated for your investment advisory services by (check all that apply): (5) Commissions.
- Private funds Form ADV Item 7.B
- Are you an adviser to any private fund?
Source: U.S. Securities and Exchange Commission, Form ADV data, Information About Registered Investment Advisers and Exempt Reporting Advisers, file ia09012026-registered.zip (data as of Sep 1, 2026), retrieved Sep 10, 2026. Figures are as self-reported by each firm on Form ADV Item 5; the SEC does not verify them. Neither the SEC nor the state securities authorities have approved the information filed on Form ADV, and we can not guarantee its accuracy.
Winthrop & Co. is compensated by firms when an advisor joins through us. The advisor never pays. Firms on this page are listed by arithmetic on the SEC's file, not by any relationship with us, and none is ranked, labelled or recommended.