AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $0.9 |
| Non-Discretionary | $0.0 |
| Total | $0.9 |
| Client | AUM |
|---|---|
| Retail | $0.8 |
| Pooled | $0.0 |
| Institutional | $0.1 |
| Total | $0.9 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 13 | $0.0 |
| Average Individual AUM | $553,573 | |
| HNW | 161 | $0.8 |
| Average HNW AUM | $5,155,663 | |
| Retail Total | 174 | $0.8 |
| Average Retail AUM | $4,811,829 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|---|---|
| PERSHING ADVISOR SOLUTIONS LLC | JERSEY CITY-NJ-USA | $0.6 |
| PNC INVESTMENTS LLC | PITTSBURGH-PA-USA | $0.2 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $0.9 |
| Retail SMA AUM | $0.8 |
| Institutional SMA AUM | $0.1 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 93% | $0.9 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 7% | $0.1 |
| Other | 0% | $0.0 |
| Total | 100% | $0.9 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| HIGHTOWER ADVISORS, LLC | $164.8 | 145323 | |
| GRANT TANI BARASH & ALTMAN, LLC | $1.8 | 319128 | |
| MADISON AVENUE FINANCIAL SOLUTIONS, LLC | $1.6 | 307461 | |
| KANAWHA CAPITAL MANAGEMENT, LLC | $1.6 | 118458 | |
| DELTA ASSET MANAGEMENT, LLC | $1.4 | 113688 | |
| WEALTHTRUST AXIOM, LLC | $0.8 | 145186 | |
| DUNCKER, STREETT & CO., LLC | $0.7 | 110828 | |
| THE RIKOON GROUP, LLC | $0.1 | 131435 | |
| HIGHTOWER TRUST SERVICES LTA | $0.0 | trust company | - |
| HIGHTOWER SECURITIES, LLC | $0.0 | broker-dealer | 116681 |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
19 active
| Name | Title |
|---|---|
| HARVEY, SAMUEL, CASTLEMAN | PRESIDENT, OWNER |
| HERRMANN, MARY, LINDER | SENIOR VICE PRESIDENT, OWNER |
| DAVIS, JOHN, JOHNSTON | OWNER |
| JEVNE, JOSHUA, STEPHEN | OWNER, SENIOR VICE PRESIDENT |
| NOBLE, SAMUEL, HUNTER | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, OWNER |
| BERG, DANIEL, JEREMY | SECRETARY & TREASURER |
| BOYLE, JOHN, THOMAS | PRINCIPAL |
ADVDB.CO • SOURCE: SEC
4 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| MARY HERRMANN | LOUISVILLE | KY | S63|2000-07-07|S65|2014-06-09 | ||||||
| SAMUEL HARVEY | LOUISVILLE | KY | S63|1991-11-14|S66|2000-10-20 | ||||||
| SAMUEL NOBLE | LOUISVILLE | KY | S66|2012-10-26 | ||||||
| JOSHUA JEVNE | LOUISVILLE | KY | S65|2010-10-21 | ||||||
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-06-02 | $0.9 | $0.0 | 0% | 4 | 0 | 0% |
| 2025-04-21 | $0.9 | $0.0 | 0% | 4 | 0 | 0% |
| 2024-04-02 | $0.9 | $0.0 | 3% | 4 | 0 | 0% |
| 2023-04-04 | $0.9 | $0.1 | 8% | 5 | -1 | -20% |
| 2022-04-01 | $1.0 | $0.0 | -4% | 5 | -1 | -20% |
| 2021-04-05 | $0.8 | $0.1 | 14% | 5 | -1 | -20% |
| 2020-04-01 | $0.7 | $0.2 | 26% | 5 | -1 | -20% |
| 2019-04-01 | $0.6 | $0.3 | 52% | 4 | 0 | 0% |
| 2018-04-02 | $0.6 | $0.3 | 46% | 4 | 0 | 0% |
| 2017-04-01 | $0.6 | $0.4 | 67% | 4 | 0 | 0% |
| 2016-04-01 | $0.5 | $0.4 | 87% | 4 | 0 | 0% |
| 2015-04-01 | $0.5 | $0.4 | 84% | 4 | 0 | 0% |
| 2014-04-01 | $0.4 | $0.5 | 111% | 4 | 0 | 0% |
| 2013-04-01 | $0.4 | $0.6 | 167% | 5 | -1 | -20% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| KY, CA-03/03/2008, CO-03/03/2008, FL-03/04/2008, GA-03/03/2008, IL-03/19/2008, KY-11/02/2000, NC-03/16/2021, OH-03/03/2008, SC-03/23/2016, TX-03/25/2014 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (SMB) |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV