Hedge Fund Database

PRIVATE CLIENT SERVICES, LLC

Adviser information for PRIVATE CLIENT SERVICES, LLC last updated from Form ADV on March 28th, 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 60
Investment Advisory/Research 50
Registered Broker-Dealer Representatives 60
Registered State Investment Advisers 50
Licensed Agents of an Insurance Company 50
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 921 $293.3M
Non-Discretionary 1,969 $552.5M
Total 2,890 $845.8M

Clients

Type Number RAUM
Individuals 1,717 $768.3M
HNW Individuals 152 $66.7M
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 10 $9.0M
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 3 $1.9M
Other 0 $0
Type Number
No. of Non-RAUM Clients 26
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 26-50

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)Educational seminars/workshops
Compensation % of AUMHourly chargesFixed fees
Other Business Activities Broker-dealerInsurance broker or agent

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 845.8M
Portfolio Manager 0
Both for Same 0
Portfolio Manager to Program Sponsor
PCS ADVISOR MODEL PORTFOLIOS PRIVATE CLIENT SERVICES, LLC
PRIVATE WEALTH MANAGEMENT PRIVATE CLIENT SERVICES

Identifiers

SEC RIA File Number 801-71475
SEC ERA File Number 801-71475
SEC CIK Numbers 1457005
SEC CRD Numbers 120222
Legal Entity Identifier None

Principal Office

2225 LEXINGTON ROAD
LOUISVILLE
KY
United States
Monday - Friday, 8:30 - 5:00
Tel: 502-451-0600, Fax: 502-473-1721

Websites

www.kfg.com www.pcsbd.net www.pcsadvisors.net www.hafeleinvestments.com

Chief Compliance Officer

JOHN TAYLOR-JONES
2225 LEXINGTON RD
LOUISVILLE
KY
United States
Tel: 502-992-3555
Fax: 502-473-1721
(Full email address available in API data)

Regulatory Contact

ERNEST SAMPSON
MANAGING MEMBER
2225 LEXINGTON ROAD
LOUISVILLE
KY
United States
Tel: 502-992-3540
Fax: 502-473-1721
(Full email address available in API data)

Industry Affiliates

PRIVATE CLIENT SERVICES Broker-dealer, municipal securities dealer, or gov securities broker or dealerInsurance company or agency

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
SAMPSON, ERNEST AUBREY Individual – MANAGING MEMBER, ESOP TRUSTEE 04/2007 < 5%
KFG ENTERPRISES, INC. Domestic Entity – SHAREHOLDER 02/2001 50-75%
SAMPSON, ERNEST AUBREY Individual KFG ENTERPRISES, INC. SHAREHOLDER 02/2001 > 75%
TAYLOR-JONES, JOHN PHILIP Individual – CHIEF COMPLIANCE OFFICER 08/2013 < 5%
WESCOTT, MARY ELIZABETH Individual – CHIEF ADMINISTRATION OFFICER 09/2018 < 5%
IRONSIDE, JULIA MEYER Individual – FINOP 11/2020 < 5%
GRAHAM, TIMOTHY DALEY Individual – PRESIDENT 05/2021 < 5%
PRIVATE CLIENT SERVICES EMP STOCK OWNERSHIP PLAN & TRUST Domestic Entity – ESOP TRUST 01/2020 25-50%

No. Employees, Historic

60300201920202021202220232024202530 on 7/3/201930 on 8/21/201930 on 10/2/201930 on 3/31/202030 on 6/2/202030 on 7/10/202030 on 8/24/202030 on 11/10/202056 on 3/31/202157 on 4/6/202157 on 5/4/202157 on 5/28/202157 on 11/15/202157 on 12/7/202157 on 1/3/202257 on 1/3/202257 on 1/28/202257 on 3/31/202257 on 10/26/202257 on 12/7/202260 on 3/28/202360 on 8/9/202360 on 12/26/202360 on 1/3/202460 on 3/28/2024

RAUM, Historic

900M450M02019202020212022202320242025257300000 on 7/3/2019257300000 on 8/21/2019257300000 on 10/2/2019313808053 on 3/31/2020313808053 on 6/2/2020313808053 on 7/10/2020313808053 on 8/24/2020313808053 on 11/10/2020455270350 on 3/31/2021455270350 on 4/6/2021455270350 on 5/4/2021455270350 on 5/28/2021455270350 on 11/15/2021455270350 on 12/7/2021455270350 on 1/3/2022455270350 on 1/3/2022455270350 on 1/28/2022615084214 on 3/31/2022615084214 on 10/26/2022615084214 on 12/7/2022663057627 on 3/28/2023663057627 on 8/9/2023663057627 on 12/26/2023663057627 on 1/3/2024845810789 on 3/28/2024

No. Clients, Historic

2,0001,000020192020202120222023202420251097 on 7/3/20191097 on 8/21/20191097 on 10/2/20191087 on 3/31/20201087 on 6/2/20201087 on 7/10/20201087 on 8/24/20201087 on 11/10/20201648 on 3/31/20211648 on 4/6/20211648 on 5/4/20211648 on 5/28/20211648 on 11/15/20211648 on 12/7/20211648 on 1/3/20221648 on 1/3/20221648 on 1/28/20221330 on 3/31/20221330 on 10/26/20221330 on 12/7/20221751 on 3/28/20231751 on 8/9/20231751 on 12/26/20231751 on 1/3/20241882 on 3/28/2024

Holdings

From latest 13F, filed July 29th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABERCROMBIE & FITCH CO CL A 788K 4K 0
ADOBE INC COM 2M 3K 0
AFLAC INC COM 590K 7K 0
ALPHABET INC CAP STK CL A 869K 5K 0
ALPHABET INC CAP STK CL C 3M 14K 0
AMAZON COM INC COM 2M 9K 0
AMERIPRISE FINL INC COM 213K 498 0
AMPLIFY ETF TR CWP ENHANCED DIV 309K 8K 0
APPLE INC COM 5M 22K 0
BERKSHIRE HATHAWAY INC DEL CL B NEW 858K 2K 0
BLUE RIDGE BANKSHARES INC VA COM 172K 66K 0
BRISTOL-MYERS SQUIBB CO COM 307K 7K 0
BROADCOM INC COM 490K 305 0
BROWN FORMAN CORP CL B 491K 11K 0
BROWN FORMAN CORP CL A 368K 8K 0
CAPITAL GROUP GROWTH ETF SHS CREATION UNI 284K 9K 0
CHEVRON CORP NEW COM 258K 2K 0
COMFORT SYS USA INC COM 996K 3K 0
COSTCO WHSL CORP NEW COM 704K 828 0
DYNATRACE INC COM NEW 1M 33K 0
ELI LILLY & CO COM 888K 981 0
EMCOR GROUP INC COM 824K 2K 0
ENERGY TRANSFER L P COM UT LTD PTN 266K 16K 0
EXXON MOBIL CORP COM 1M 9K 0
FIRST TR EXCH TRADED FD III PFD SECS INC ETF 3M 170K 0
FIRST TR EXCH TRD ALPHDX FD INDIA NFTY50 EQW 906K 15K 0
FIRST TR EXCHANGE-TRADED FD SMID RISNG ETF 231K 7K 0
FIRST TR EXCHNG TRADED FD VI TCW UNCONSTRAI 1M 44K 0
FIRST TR VALUE LINE DIVID IN SHS 273K 7K 0
GLOBAL X FDS S&P 500 COVERED 204K 5K 0
GRIID INFRASTRUCTURE INC COMMON STOCK 40K 38K 0
HOME DEPOT INC COM 255K 741 0
INNOVATOR ETFS TRUST EMRGNG MKT APRIL 838K 32K 0
INNOVATOR ETFS TRUST US SML CP PWR ET 869K 28K 0
INNOVATOR ETFS TRUST US EQT PWR BUF 6M 162K 0
INTUIT COM 505K 769 0
INVESCO EXCH TRD SLF IDX FD BULSHS 2025 HY 3M 127K 0
INVESCO EXCH TRD SLF IDX FD BULSHS 2025 CB 2M 114K 0
INVESCO EXCH TRD SLF IDX FD BULSHS 2024 HY 3M 125K 0
INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 5M 29K 0
INVESCO EXCHANGE TRADED FD T S&P 500 GARP ETF 239K 2K 0
INVESCO QQQ TR UNIT SER 1 3M 6K 0
ISHARES TR ESG AWR MSCI USA 295K 2K 0
ISHARES TR CORE US AGGBD ET 2M 16K 0
ISHARES TR MSCI EAFE ETF 870K 11K 0
ISHARES TR RUSSELL 2000 ETF 223K 1K 0
ISHARES TR CORE MSCI EAFE 4M 58K 0
ISHARES TR IBONDS 2026 TERM 3M 123K 0
ISHARES TR CORE S&P MCP ETF 226K 4K 0
ISHARES TR 20 YR TR BD ETF 2M 27K 0
ISHARES TR CORE S&P500 ETF 10M 18K 0
ISHARES TR CRE U S REIT ETF 739K 14K 0
ISHARES TR MSCI INDIA ETF 362K 6K 0
ISHARES TR RUS MDCP VAL ETF 368K 3K 0
ISHARES TR S&P 100 ETF 6M 24K 0
ISHARES TR CORE S&P SCP ETF 230K 2K 0
ISHARES TR PFD AND INCM SEC 626K 20K 0
ISHARES TR NATIONAL MUN ETF 778K 7K 0
ISHARES TR SHRT NAT MUN ETF 262K 3K 0
ISHARES TR MSCI USA MIN VOL 224K 3K 0
ISHARES TR MSCI USA QLT FCT 1M 7K 0
J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM 3M 45K 0
JOHNSON & JOHNSON COM 266K 2K 0
JPMORGAN CHASE & CO. COM 1M 5K 0
LOWES COS INC COM 243K 1K 0
M/I HOMES INC COM 1M 10K 0
MASTERCARD INCORPORATED CL A 342K 775 0
MATTEL INC COM 1M 79K 0
MCDONALDS CORP COM 318K 1K 0
MERCK & CO INC COM 369K 3K 0
META PLATFORMS INC CL A 420K 834 0
MICROCHIP TECHNOLOGY INC. COM 2M 17K 0
MICROSOFT CORP COM 4M 8K 0
NETAPP INC COM 2M 15K 0
NOVO-NORDISK A S ADR 539K 4K 0
NUVEEN MORTGAGE AND INCOME F COM 2M 96K 0
NVIDIA CORPORATION COM 2M 16K 0
ORACLE CORP COM 231K 2K 0
PACER FDS TR US CASH COWS 100 4M 66K 0
PACER FDS TR DEVELOPED MRKT 298K 10K 0
PACER FDS TR US EXPORT LEAD 230K 5K 0
PACER FDS TR EMRG MKT CASH 245K 12K 0
PACER FDS TR PACER US SMALL 2M 36K 0
PHILIP MORRIS INTL INC COM 300K 3K 0
RTX CORPORATION COM 260K 3K 0
SALESFORCE INC COM 320K 1K 0
SANDRIDGE ENERGY INC COM NEW 663K 51K 0
SCHWAB CHARLES CORP COM 265K 4K 0
SCHWAB STRATEGIC TR US DIVIDEND EQ 427K 5K 0
SCHWAB STRATEGIC TR US TIPS ETF 302K 6K 0
SELECT SECTOR SPDR TR SBI HEALTHCARE 407K 3K 0
SELECT SECTOR SPDR TR TECHNOLOGY 1M 4K 0
SELECT SECTOR SPDR TR COMMUNICATION 258K 3K 0
SELECT SECTOR SPDR TR ENERGY 514K 6K 0
SERVICENOW INC COM 2M 2K 0
SPDR GOLD TR GOLD SHS 1M 5K 0
SPDR S&P 500 ETF TR TR UNIT 6M 11K 0
SPDR SER TR PORTFOLIO S&P500 318K 5K 0
SPDR SER TR PRTFLO S&P500 GW 459K 6K 0
SPDR SER TR BLOOMBERG 1-3 MO 9M 94K 0
SPDR SER TR PRTFLO S&P500 VL 761K 16K 0
SPDR SER TR BLOOMBERG HIGH Y 233K 2K 0
SPROTT PHYSICAL GOLD TR UNIT 778K 43K 0
SPROTT PHYSICAL SILVER TR TR UNIT 251K 25K 0
SPROUTS FMRS MKT INC COM 2M 23K 0
SSGA ACTIVE ETF TR MULT ASS RLRTN 1M 41K 0
SSGA ACTIVE TR SPDR SSGA US SCT 350K 7K 0
STOCK YDS BANCORP INC COM 362K 7K 0
T ROWE PRICE ETF INC CAP APPRECIATION 265K 8K 0
UNITEDHEALTH GROUP INC COM 314K 617 0
VANECK ETF TRUST SEMICONDUCTR ETF 482K 2K 0
VANECK ETF TRUST MRNGSTR WDE MOAT 251K 3K 0
VANGUARD BD INDEX FDS TOTAL BND MRKT 1M 17K 0
VANGUARD INDEX FDS TOTAL STK MKT 339K 1K 0
VANGUARD INDEX FDS REAL ESTATE ETF 308K 4K 0
VANGUARD INDEX FDS MID CAP ETF 2M 9K 0
VANGUARD INDEX FDS SMALL CP ETF 2M 8K 0
VANGUARD INDEX FDS VALUE ETF 957K 6K 0
VANGUARD INDEX FDS GROWTH ETF 543K 1K 0
VANGUARD INDEX FDS MCAP VL IDXVIP 505K 3K 0
VANGUARD INDEX FDS S&P 500 ETF SHS 2M 4K 0
VANGUARD INDEX FDS MCAP GR IDXVIP 206K 899 0
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 2M 54K 0
VANGUARD MUN BD FDS TAX EXEMPT BD 475K 9K 0
VANGUARD SCOTTSDALE FDS TOTAL WLD BD ETF 209K 3K 0
VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 321K 4K 0
VANGUARD SPECIALIZED FUNDS DIV APP ETF 329K 2K 0
VANGUARD WHITEHALL FDS HIGH DIV YLD 465K 4K 0
VANGUARD WORLD FD FINANCIALS ETF 200K 2K 0
VANGUARD WORLD FD INF TECH ETF 500K 867 0
VANGUARD WORLD FD HEALTH CAR ETF 468K 2K 0
VICTORY PORTFOLIOS II VCSHS US 500 VOL 210K 3K 0
VICTORY PORTFOLIOS II VCSHS US LRG CAP 240K 4K 0
VICTORY PORTFOLIOS II VCSHS INTL VOLTY 205K 5K 0
VICTORY PORTFOLIOS II VCSHS US SML CAP 208K 3K 0
VISA INC COM CL A 476K 2K 0
WALMART INC COM 487K 7K 0
WILLIAMS SONOMA INC COM 258K 913 0