FWG INVESTMENTS, LLC
Adviser information for FWG INVESTMENTS, LLC last updated from Form ADV on March 12th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Kentucky, United States |
Employees
| Total Number of Employees | 24 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 8 |
| Licensed Agents of an Insurance Company | 13 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,659 | $205.9M |
| Non-Discretionary | 0 | $0 |
| Total | 2,659 | $205.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,202 | $173.0M |
| HNW Individuals | 46 | $32.9M |
| 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 | 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 | 155 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1000 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Publication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | % of AUMFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| OPTIONS-ONLY WRAP FEE PROGRAM | FWG INVESTMENTS, LLC |
Identifiers
| SEC RIA File Number | 801-112954 |
|---|---|
| SEC ERA File Number | 801-112954 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 284064 |
| Legal Entity Identifier | None |
Principal Office
2704 OLD ROSEBUD ROADSUITE 160
LEXINGTON
KY
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 859-309-0349, Fax: 859-309-0941
Chief Compliance Officer
CHRISTOPHER L PAYNE
36 WEST PIKE
COVINGTON
KY
United States
Tel:
513-399-8091
C*****@*******M
(Full email address available in API data)
Regulatory Contact
BRIAN K. STAPLES
COO & CFO
2704 OLD ROSEBUD DR.
LEXINGTON
KY
United States
Tel:
859-309-0349
B****@***********M
(Full email address available in API data)
Industry Affiliates
| FAMILY WEALTH GROUP, LLC | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BENTLEY, DONALD, EUGENE | Individual | HMJ LLC | MANAGING MEMBER | 01/2022 | > 75% |
| STAPLES, BRIAN, KEITH | Individual | – | CHIEF OPERATING OFFICER | 01/2022 | < 5% |
| HMJ LLC | Domestic Entity | – | MANAGING MEMBER | 01/2022 | 50-75% |
| JEFF SHEPPARD FINANCIAL LLC | Domestic Entity | – | MANAGING MEMBER | 01/2022 | 50-75% |
| Sheppard, Jeffrey, Kyle | Individual | JEFF SHEPPARD FINANCIAL LLC | MANAGING MEMBER | 01/2022 | > 75% |
| PAYNE, CHRISTOPHER, LEE | Individual | – | INTERIM CCO | 10/2023 | < 5% |