# Advantage Investment Management

> 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.

- CRD: 146493
- Filed as: ADVANTAGE INVESTMENT MANAGEMENT
- 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)
- Location: Louisville, KY
- Filing period: October 2026
- Form ADV filing dated: August 12, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/146493
- AdvisorCensus page: https://advisorcensus.com/firm/advantage-investment-management-louisville-ky-146493

## Quick answers

**How 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).

**How much does Advantage Investment Management charge?**
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); Flat fee: $1,500 to $25,000 (financial planning services); Hourly rate: $250 an hour (financial planning services). 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

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated March 25, 2026)

- Asset-based fee: up to 1.25% of assets a year (the maximum the brochure states)

> 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)

> 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.

- Flat fee: $1,500 to $25,000 (financial planning services)

> There is a range in the amount of the fixed fee charged by our Firm for financial planning services. The minimum fee is $1,500, and the maximum fixed fee is $25,000.

- Hourly rate: $250 an hour (financial planning services)

> A fee of $250 per hour will be charged to clients engaged in an hourly financial planning arrangement.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- Nationwide Investment Services Corporation

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.

### Regulatory assets under management (Item 5.F)
- Total: $215,376,210
- Discretionary: $167,858,398
- Non-discretionary: $47,517,812

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 310 | $72,677,261 |
| High net worth individuals | 43 | $110,562,547 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 8 | $24,988,263 |
| Charitable organizations | 4 | $7,116,392 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 4 | $31,747 |
| Other | 0 | $0 |

### 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

### Firm details
- Registered since: 2022 (4 years)
- Employees: 10 total, 5 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, FL, IN, KY, NY, PA, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the September 2026 filing
- Louisville, KY

### Websites listed on Form ADV (Item 1.I)
- aim-rps.com
- Facebook @ADVANTAGEINVESTMENTMANAGEMENT
- Instagram @aim_rps.com
- LinkedIn @11051983

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2022 | $149,526,603 | 8 | May 4, 2022 |
| October 2023 | $137,292,287 | 8 | April 3, 2023 |
| October 2024 | $159,751,600 | 8 | August 29, 2024 |
| October 2025 | $184,871,474 | 8 | March 21, 2025 |
| October 2026 | $215,376,210 | 10 | August 12, 2026 |

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.

## 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.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Advantage Investment Management (CRD 146493): Form ADV filing data as of October 2026.