AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $0.1 |
| Non-Discretionary | $0.0 |
| Total | $0.1 |
| Client | AUM |
|---|---|
| Retail | $0.1 |
| Pooled | $0.0 |
| Institutional | $0.0 |
| Total | $0.1 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 255 | $0.1 |
| Average Individual AUM | $492,047 | |
| HNW | 0 | $0.0 |
| Average HNW AUM | $0 | |
| Retail Total | 255 | $0.1 |
| Average Retail AUM | $492,047 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|---|---|
| CHARLES SCHWAB & CO., INC. | DENVER-CO-USA | $0.1 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $0.1 |
| Retail SMA AUM | $0.1 |
| Institutional SMA AUM | $0.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 94% | $0.1 |
| 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 | 6% | $0.0 |
| Other | 0% | $0.0 |
| Total | 100% | $0.1 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| THOMPSON FINANCIAL GROUP INC | $0.0 | accountancy | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
5 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| GEORGE PIERCE | LEXINGTON | KY | S63|1986-07-01 | ||||||
| JOHN THOMPSON | LEXINGTON | KY | S63|1995-02-28 | ||||||
| JAMES THOMPSON | LEXINGTON | KY | S63|2012-04-25|S65|2001-02-20 | ||||||
| JAMES SMITH | LEXINGTON | KY | S63|1999-12-13 | CERTIFIED FINANCIAL PLANNER | |||||
| RALPH SCEARCE | LEXINGTON | KY | S63|1992-09-16 | CERTIFIED FINANCIAL PLANNER | |||||
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-04-21 | $0.1 | $0.0 | 0% | 5 | 0 | 0% |
| 2024-04-02 | $0.1 | $0.0 | 15% | 5 | 0 | 0% |
| 2023-04-04 | $0.1 | $0.0 | 24% | 5 | 0 | 0% |
| 2022-04-01 | $0.1 | $0.0 | 21% | 3 | 2 | 67% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| KY, KY-02/23/2022 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (SMB) |
| OTHER ACTIVITIES |
|
ACCOUNTING FIRM |
ADVDB.CO • SOURCE: SEC FORM ADV