EQUITY ADVISORS OF KENTUCKY INC
Adviser information for EQUITY ADVISORS OF KENTUCKY INC last updated from Form ADV on March 29th, 2024. 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 | DECEMBER |
| Legal Location | Kentucky, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 89 | $21.4M |
| Non-Discretionary | 532 | $94.5M |
| Total | 621 | $115.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 91 | $35.6M |
| HNW Individuals | 32 | $80.3M |
| 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 | 0 | $0 |
| 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 | 0 |
| 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 AUMHourly chargesFixed feesPerformance-based fees |
| Other Business Activities | Accountant or accounting firm |
Identifiers
| SEC RIA File Number | 801-112311 |
|---|---|
| SEC ERA File Number | 801-112311 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 116398 |
| Legal Entity Identifier | None |
Principal Office
3060 WADDY ROADWADDY
KY
United States
Monday - Friday, 8AM TO 5PM
Tel: 502-829-9244, Fax: 502-681-9971
Websites
Chief Compliance Officer
ERIC FELTY
3060 WADDY ROAD
WADDY
KY
United States
Tel:
502-709-6052
Fax:
502-681-9971
E****@********M
(Full email address available in API data)
Regulatory Contact
FON ROGERS
OWNER
3060 WADDY ROAD
WADDY
KY
United States
Tel:
502-709-6052
Fax:
502-681-9971
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ROGERS, FON | Individual | – | OWNER | 06/2023 | 50-75% |
| FELTY, ERIC, M | Individual | – | OWNER & CHIEF COMPLIANCE OFFICER | 06/2023 | 25-50% |