AdvisorCensus / Financial advisors / Kentucky / Louisville / Advantage Investment Management
Advantage Investment Management
Filed as ADVANTAGE INVESTMENT MANAGEMENT · Legal name Garton and Associates Financial Advisors LLC
Advantage Investment Management is an SEC-registered investment advisory firm in Louisville, KY, registered since 2022, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated August 12, 2026.
Quick answers
From the filingHow is Advantage Investment Management compensated?
On its Form ADV (Item 5.E, October 2026), Advantage Investment Management reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).
What does Advantage Investment Management's brochure say about its fees?
Its Form ADV Part 2A brochure dated March 25, 2026 states: Asset-based fee: up to 1.25% of assets a year (the maximum the brochure states). Fees can differ by service and may be negotiable; the brochure is the complete statement.
Where is Advantage Investment Management located?
Advantage Investment Management's principal office is in Louisville, KY, according to its Form ADV; the September 2026 filing also lists 1 other office (Schedule D, Section 1.F).
Is Advantage Investment Management registered with the SEC or a state?
Advantage Investment Management is an SEC-registered investment advisory firm, registered since 2022. Status as filed: Approved. CRD 146493.
How much does Advantage Investment Management manage?
Advantage Investment Management reports $215,376,210 in regulatory assets under management in its Form ADV filing dated August 12, 2026 (78% discretionary).
How have Advantage Investment Management's assets and staff changed since 2022?
In the Form ADV data for Advantage Investment Management: Regulatory assets under management: $149,526,603 in the October 2022 data and $215,376,210 in the October 2026 data, up 44%. Total employees: 8 in October 2022 and 10 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Advantage Investment Management serve?
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (310); high net worth individuals (43); pension and profit sharing plans (but not the plan participants or government pension plans) (8).
Which custodians does Advantage Investment Management use?
Advantage Investment Management's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Nationwide Investment Services Corporation as custodians holding 10% or more of its separately managed account assets.
Does Advantage Investment Management report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/146493
Does Advantage Investment Management state an account minimum?
Its Form ADV Part 2A brochure dated March 25, 2026 says: "Our Firm typically requires a minimum account size of $500,000 for advisory accounts. However, sometimes, at our sole discretion, we may accept smaller accounts based on various criteria, such as anticipated future assets, related accounts, and other individual Client circumstances."
What changed in Advantage Investment Management's recent Form ADV filings?
In the September 2026 filing data: Registered or notice-filed in NY.
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AAsset-based fee: up to 1.25% of assets a year (the maximum the brochure states)
The brochure's wording
Our maximum annual fee is 1.25%, and we have a minimum account size of $500,000.
The investment management agreement will outline the fee charged to a Client and any breakpoints based on the level of assets managed.
Account minimum: $500,000 (the brochure says it may be waived or negotiated)
The brochure's wording
Our Firm typically requires a minimum account size of $500,000 for advisory accounts. However, sometimes, at our sole discretion, we may accept smaller accounts based on various criteria, such as anticipated future assets, related accounts, and other individual Client circumstances.
As stated in the firm's Form ADV Part 2A brochure dated March 25, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$215,376,210 as of October 2026, filing dated August 12, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Pension consulting services
Registration and firm details
Items 1, 2, 5- Legal name
- Garton and Associates Financial Advisors LLC
- Also doing business as
- ADVANTAGE INVESTMENT MANANGEMENT, AIM
- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2022 (4 years)
- Employees
- Total: 10. Performing investment advisory functions: 5.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.
- Other offices (Schedule D, Section 1.F)
-
1 other office, as of the September 2026 filing
- States registered or notice-filed
-
7 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $215,376,210 | 10 | August 12, 2026 |
| October 2025 | $184,871,474 | 8 | March 21, 2025 |
| October 2024 | $159,751,600 | 8 | August 29, 2024 |
| October 2023 | $137,292,287 | 8 | April 3, 2023 |
| October 2022 | $149,526,603 | 8 | May 4, 2022 |
Regulatory assets under management: $149,526,603 in the October 2022 data and $215,376,210 in the October 2026 data, up 44%.
Total employees: 8 in October 2022 and 10 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- September 2026
- Registered or notice-filed in NY.
- April 2026
- Regulatory assets under management went from $184,871,474 to $215,376,210 (+17%).
- Employees performing advisory functions went from 4 to 5.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Advantage Investment Management (CRD 146493): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/advantage-investment-management-louisville-ky-146493