JOULE FINANCIAL, LLC
Adviser information for JOULE FINANCIAL, LLC last updated from Form ADV on March 18th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,822 | $332.0M |
| Non-Discretionary | 0 | $0 |
| Total | 1,822 | $332.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 556 | $146.8M |
| HNW Individuals | 101 | $180.3M |
| 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 | <5 | $2.9M |
| Charitable organizations | <5 | $5,450 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | <5 | $1.9M |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $86,998 |
| 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 businessesPension consulting services |
|---|---|
| Compensation | % of AUMFixed fees |
Principal Office
1216 S. BROADWAYLEXINGTON
KY
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: 859-881-0777, Fax: 859-422-5943
Chief Compliance Officer
STACY HOWELL
1216 S. BROADWAY
LEXINGTON
KY
United States
Tel:
561-330-7259
C*********@*****************M
(Full email address available in API data)
Regulatory Contact
DANIEL CZULNO
COO
1216 S. BROADWAY
LEXINGTON
KY
United States
Tel:
859-881-0777
Fax:
859-422-5943
D******@*****************M
(Full email address available in API data)
Industry Affiliates
| AMERICAN FINANCIAL SOLUTIONS, INC. | Insurance company or agency |
| ARDEN TRUST COMPANY | Trust company |
| BEACON FINANCIAL GROUP | Other investment adviser, including financial planners |
| BEDELL FRAZIER INVESTMENT COUNSELLING, LLC. | Other investment adviser, including financial planners |
| BERNARD R. WOLFE & ASSOCIATES, INC. | Insurance company or agency |
| CAPITAL PLANNING ADVISORS LLC | Other investment adviser, including financial planners |
| COMPASS CAPITAL MANAGEMENT, INC. | Insurance company or agency |
| GOLDSTEIN ADVISORS, LLC | Other investment adviser, including financial planners |
| HEDEKER WEALTH LLC | Other investment adviser, including financial planners |
| HICKORY ASSET MANAGEMENT, INC. | Other investment adviser, including financial planners |
| HUGHES FINANCIAL SERVICES, LLC | Other investment adviser, including financial planners |
| KESTRA ADVISORY SERVICES, LLC | Other investment adviser, including financial planners |
| KESTRA INSTITUTIONAL SERVICES, LLC | Other investment adviser, including financial planners |
| KESTRA INSURANCE SERVICES, LLC | Insurance company or agency |
| KESTRA INVESTMENT MANAGEMENT, LLC. | Other investment adviser, including financial planners |
| KESTRA INVESTMENT SERVICES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| KESTRA PRIVATE WEALTH SERVICES, LLC | Other investment adviser, including financial planners |
| OKLAHOMA FINANCIAL CENTER, INC. | Insurance company or agency |
| PROVISE MANAGEMENT GROUP, LLC | Other investment adviser, including financial planners |
| RITTER DANIHER FINANCIAL ADVISORY LLC | Other investment adviser, including financial planners |
| VECTOR INSURANCE SERVICES, INC. | Insurance company or agency |
| VECTOR WEALTH MANAGEMENT | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CZULNO, DANIEL, JOSEPH | Individual | – | MANAGING DIRECTOR, CHIEF OPERATIONS OFFICER | 03/2022 | < 5% |
| TATRO, WILLIAM, LEWIS | Individual | – | MANAGING DIRECTOR , CHIEF INVESTMENT OFFICER | 03/2022 | < 5% |
| NORWOOD, ROBERT, BREDT | Individual | – | VICE PRESIDENT | 03/2022 | < 5% |
| Osborne, Angela, Maren | Individual | – | VICE PRESIDENT | 03/2022 | < 5% |
| Buckner, Harold | Individual | – | VICE PRESIDENT | 03/2022 | < 5% |
| MARKHAM, LORI, ANN | Individual | – | ASSISTANT SECRETARY | 03/2022 | < 5% |
| BLUESPRING WEALTH PARTNERS, LLC | Domestic Entity | – | OWNER | 03/2022 | > 75% |
| KESTRA FINANCIAL, INC. | Domestic Entity | BLUESPRING WEALTH PARTNERS, LLC | OWNER | 04/2017 | > 75% |
| KESTRA ADVISOR SERVICES HOLDINGS C, INC. | Domestic Entity | KESTRA FINANCIAL, INC. | OWNER | 10/2014 | > 75% |
| KESTRA ADVISOR SERVICES HOLDINGS B, INC. | Domestic Entity | KESTRA ADVISOR SERVICES HOLDINGS C, INC. | OWNER | 10/2014 | > 75% |
| KESTRA ADVISOR SERVICES HOLDINGS A, INC. | Domestic Entity | KESTRA ADVISOR SERVICES HOLDINGS B, INC. | OWNER | 10/2014 | > 75% |
| KINGFISHER HOLDING B, INC. | Domestic Entity | KESTRA ADVISOR SERVICES HOLDINGS A, INC. | OWNER | 06/2019 | > 75% |
| KINGFISHER HOLDING A, INC. | Domestic Entity | KINGFISHER HOLDING B, INC. | OWNER | 06/2019 | > 75% |
| KINGFISHER HOLDING L.P. | Domestic Entity | KINGFISHER HOLDING A, INC. | OWNER | 06/2019 | > 75% |
| HOWELL, STACY | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2022 | < 5% |
| OHCP VI ENZO AGGREGATOR, L.P. | Domestic Entity | KINGFISHER HOLDING L.P. | OWNER | 02/2023 | 25-50% |
| OAK HILL CAPITAL PARTNERS VI (ONSHORE), L.P. | Domestic Entity | OHCP VI ENZO AGGREGATOR, L.P. | OWNER | 02/2023 | 25-50% |
| OAK HILL CAPITAL PARTNERS VI (TE 892), L.P. | Domestic Entity | OHCP VI ENZO AGGREGATOR, L.P. | OWNER | 02/2023 | 25-50% |
| WARBURG PINCUS FINANCIAL SECTOR, L.P. | Domestic Entity | KINGFISHER HOLDING L.P. | LIMITED PARTNER | 06/2019 | 25-50% |
| KINGFISHER HOLDING GP, LLC | Domestic Entity | KINGFISHER HOLDING L.P. | GENERAL PARTNER | 06/2019 |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 23rd, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ABBVIE INC | COM | 314K | 2K | – |
| AERCAP HOLDINGS NV | SHS | 567K | 6K | – |
| ALPHABET INC | CAP STK CL A | 2M | 12K | – |
| AMAZON COM INC | COM | 832K | 4K | – |
| AMERICAN SUPERCONDUCTOR CORP | SHS NEW | 226K | 10K | – |
| APPLE INC | COM | 642K | 3K | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 213K | 523 | – |
| CAMECO CORP | COM | 1M | 22K | – |
| CAPITAL ONE FINL CORP | COM | 537K | 4K | – |
| CATERPILLAR INC | COM | 388K | 1K | – |
| CHEVRON CORP NEW | COM | 470K | 3K | – |
| CISCO SYS INC | COM | 437K | 9K | – |
| COCA COLA CO | COM | 312K | 5K | – |
| COSTCO WHSL CORP NEW | COM | 661K | 778 | – |
| CUMMINS INC | COM | 564K | 2K | – |
| DEERE & CO | COM | 497K | 1K | – |
| DENISON MINES CORP | COM | 20K | 10K | – |
| DISNEY WALT CO | COM | 1M | 10K | – |
| DOW INC | COM | 391K | 7K | – |
| DUKE ENERGY CORP NEW | COM NEW | 235K | 2K | – |
| EATON CORP PLC | SHS | 501K | 2K | – |
| ELI LILLY & CO | COM | 499K | 551 | – |
| EMERSON ELEC CO | COM | 551K | 5K | – |
| ETHAN ALLEN INTERIORS INC | COM | 444K | 16K | – |
| EXXON MOBIL CORP | COM | 704K | 6K | – |
| FASTENAL CO | COM | 250K | 4K | – |
| FIFTH THIRD BANCORP | COM | 251K | 7K | – |
| FIRST SOLAR INC | COM | 813K | 4K | – |
| FRANKLIN RESOURCES INC | COM | 296K | 13K | – |
| GARMIN LTD | SHS | 354K | 2K | – |
| GENERAL MLS INC | COM | 297K | 5K | – |
| GENUINE PARTS CO | COM | 2M | 11K | – |
| GOLDMAN SACHS GROUP INC | COM | 453K | 1K | – |
| INTERNATIONAL BUSINESS MACHS | COM | 2M | 9K | – |
| JOHNSON & JOHNSON | COM | 314K | 2K | – |
| JPMORGAN CHASE & CO. | COM | 723K | 4K | – |
| KIMBERLY-CLARK CORP | COM | 203K | 1K | – |
| MCDONALDS CORP | COM | 209K | 821 | – |
| MERCK & CO INC | COM | 436K | 3K | – |
| META PLATFORMS INC | CL A | 441K | 875 | – |
| METLIFE INC | COM | 371K | 5K | – |
| MICRON TECHNOLOGY INC | COM | 824K | 6K | – |
| MICROSOFT CORP | COM | 2M | 4K | – |
| NEW GOLD INC CDA | COM | 20K | 10K | – |
| NVIDIA CORPORATION | COM | 394K | 3K | – |
| OCCIDENTAL PETE CORP | COM | 497K | 8K | – |
| OKLO INC | COM CL A | 500K | 59K | – |
| PALANTIR TECHNOLOGIES INC | CL A | 302K | 12K | – |
| PAYPAL HLDGS INC | COM | 585K | 10K | – |
| PEPSICO INC | COM | 439K | 3K | – |
| PFIZER INC | COM | 381K | 14K | – |
| PRICE T ROWE GROUP INC | COM | 386K | 3K | – |
| PROCTER AND GAMBLE CO | COM | 956K | 6K | – |
| PRUDENTIAL FINL INC | COM | 959K | 8K | – |
| RTX CORPORATION | COM | 296K | 3K | – |
| S&P GLOBAL INC | COM | 545K | 1K | – |
| SOUTHWESTERN ENERGY CO | COM | 373K | 55K | – |
| STOCK YDS BANCORP INC | COM | 232K | 5K | – |
| TARGET CORP | COM | 205K | 1K | – |
| TESLA INC | COM | 1M | 7K | – |
| TEXAS INSTRS INC | COM | 603K | 3K | – |
| UBER TECHNOLOGIES INC | COM | 2M | 25K | – |
| UNION PAC CORP | COM | 346K | 2K | – |
| UNITED PARCEL SERVICE INC | CL B | 373K | 3K | – |
| VISA INC | COM CL A | 241K | 918 | – |