ALEXANDER INVESTMENT SERVICES CO.
Adviser information for ALEXANDER INVESTMENT SERVICES CO. last updated from Form ADV on September 8th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | JUNE |
| Legal Location | Kentucky, United States |
Employees
| Total Number of Employees | 13 |
|---|---|
| Investment Advisory/Research | 12 |
| Registered Broker-Dealer Representatives | 13 |
| Registered State Investment Advisers | 12 |
| Licensed Agents of an Insurance Company | 10 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1 | $6.4M |
| Non-Discretionary | 1,164 | $482.3M |
| Total | 1,165 | $488.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 996 | $155.4M |
| HNW Individuals | 95 | $202.9M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 74 | $130.4M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 2 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting services |
|---|---|
| Compensation | % of AUMFixed fees |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-10334 |
|---|---|
| SEC ERA File Number | 801-10334 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 1037 |
| Legal Entity Identifier | None |
Principal Office
909 LILY CREEK ROAD #101LOUISVILLE
KY
United States
Monday - Friday, 8:00 AM TO 5:00 PM
Tel: 502-459-4414, Fax: 502-459-7535
Websites
Chief Compliance Officer
GERALD A. WELLS
VICE PRESIDENT, PARTNER
909 LILY CREEK RD #101
LOUISVILLE
KY
United States
Tel:
502-736-1340
Fax:
502-459-7535
G*****@*********M
(Full email address available in API data)
Regulatory Contact
ROBERT A MEEK
COMPLIANCE MANAGER
909 LILY CREEK RD #101
LOUISVILLE
KY
United States
Tel:
502-736-1351
Fax:
502-736-1578
B****@*********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HANLEIN, LEO ANDREW | Individual | – | OWNER, PRINCIPAL, DIRECTOR, PRESIDENT | 09/1998 | 50-75% |
| WELLS, GERALD ANDREW | Individual | – | OWNER, PRINCIPAL, DIRECTOR, VICE-PRESIDENT, CHIEF COMPLIANCE OFFICER | 09/1998 | 10-25% |
| FOX, RICHARD LYNN | Individual | – | OWNER, PRINCIPAL, DIRECTOR, VICE-PRESIDENT | 09/1996 | 10-25% |
| WILSON, THOMAS CRAIG | Individual | – | OWNER | 09/1998 | 10-25% |