{
  "crd_number": 1037,
  "slug": "alexander-investment-services-co-louisville-ky-1037",
  "primary_business_name": "ALEXANDER INVESTMENT SERVICES CO.",
  "legal_name": "ALEXANDER INVESTMENT SERVICES CO.",
  "dbas": [],
  "city": "Louisville",
  "state": "KY",
  "country": "United States",
  "cbsa_code": "31140",
  "metro": {
    "cbsa_code": "31140",
    "common_name": "Louisville",
    "msa_name": "Louisville/Jefferson County, KY-IN",
    "path": "/advisors/ky/louisville"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "1974-11-07",
  "years_registered": 51,
  "period": "2026-10-01",
  "filing_date": "2026-09-29",
  "carried_forward": false,
  "raum_total": 576801336.0,
  "raum_discretionary": 17546467.0,
  "raum_non_discretionary": 559254869.0,
  "raum_band": "500m_1b",
  "raum_band_label": "$500 million to $1 billion",
  "total_employees": 21,
  "advisory_employees": 9,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 245445369.0,
      "count": 1145
    },
    "pension_profit_sharing": {
      "raum": 55159433.0,
      "count": 24
    },
    "high_net_worth_individuals": {
      "raum": 276196534.0,
      "count": 92
    }
  },
  "compensation_types": [
    "commissions",
    "fixed",
    "other",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "other",
    "pension_consulting",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 1,
  "states_registered": [
    "CA",
    "CO",
    "FL",
    "IL",
    "IN",
    "KY",
    "NJ",
    "OH",
    "PA",
    "SC",
    "TN",
    "VA",
    "WV"
  ],
  "websites": [
    "https://aisretirement.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/1037",
  "disclosure_items": [
    {
      "item": "11.E(2)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?"
    }
  ],
  "city_as_filed": "LOUISVILLE",
  "url": "https://advisorcensus.com/firm/alexander-investment-services-co-louisville-ky-1037",
  "display_name": "Alexander Investment Services Co.",
  "summary": "Alexander Investment Services Co. is an SEC-registered investment advisory firm in Louisville, KY, registered since 1974, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated September 29, 2026.",
  "citation": "AdvisorCensus. Alexander Investment Services Co. (CRD 1037): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Fixed fees (other than subscription fees)",
    "Commissions",
    "Other"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Pension consulting services",
    "Other"
  ],
  "quick_answers": [
    {
      "q": "How is Alexander Investment Services Co. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Alexander Investment Services Co. reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); commissions; other."
    },
    {
      "q": "Where is Alexander Investment Services Co. located?",
      "a": "Alexander Investment Services Co.'s principal office is in Louisville, KY, according to its Form ADV; the October 2026 filing also lists 1 other office (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Alexander Investment Services Co. registered with the SEC or a state?",
      "a": "Alexander Investment Services Co. is an SEC-registered investment advisory firm, registered since 1974. Status as filed: Approved. CRD 1037."
    },
    {
      "q": "How much does Alexander Investment Services Co. manage?",
      "a": "Alexander Investment Services Co. reports $576,801,336 in regulatory assets under management in its Form ADV filing dated September 29, 2026 (3% discretionary)."
    },
    {
      "q": "How have Alexander Investment Services Co.'s assets and staff changed since 2021?",
      "a": "In the Form ADV data for Alexander Investment Services Co.: Regulatory assets under management: $392,817,405 in the October 2021 data and $576,801,336 in the October 2026 data, up 47%. Total employees: 13 in October 2021 and 21 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Alexander Investment Services Co. serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (1,145); high net worth individuals (92); pension and profit sharing plans (but not the plan participants or government pension plans) (24)."
    },
    {
      "q": "Which custodians does Alexander Investment Services Co. use?",
      "a": "Alexander Investment Services Co.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Capital Client Group, Inc. and Charles Schwab & Co., Inc. as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Alexander Investment Services Co. report any disciplinary disclosures?",
      "a": "Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.E(2) (self-regulatory organization's finding of a rule violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/1037"
    },
    {
      "q": "What changed in Alexander Investment Services Co.'s recent Form ADV filings?",
      "a": "In the October 2026 filing data: Employees performing advisory functions went from 10 to 9. Regulatory assets under management went from $496,269,176 to $576,801,336 (+16%). Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 392817405.0,
      "total_employees": 13,
      "filing_date": "2020-09-28"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 512777197.0,
      "total_employees": 13,
      "filing_date": "2022-09-28"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 488668503.0,
      "total_employees": 13,
      "filing_date": "2023-09-08"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 488668503.0,
      "total_employees": 13,
      "filing_date": "2023-09-08"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 641355878.0,
      "total_employees": 13,
      "filing_date": "2025-02-04"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 576801336.0,
      "total_employees": 21,
      "filing_date": "2026-09-29"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-10-01",
      "period_label": "October 2026",
      "notes": [
        "Employees performing advisory functions went from 10 to 9.",
        "Regulatory assets under management went from $496,269,176 to $576,801,336 (+16%).",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-03-01",
      "period_label": "March 2026",
      "notes": [
        "Employees performing advisory functions went from 12 to 10.",
        "Regulatory assets under management went from $579,016,663 to $496,269,176 (-14%).",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated February 11, 2026",
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": null,
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": "None",
    "figures": [
      {
        "label": "Minimum annual fee",
        "statements": [
          "Minimum annual fee: None"
        ],
        "quotes": [
          "There is no minimum account size or fee for assets under management."
        ]
      }
    ],
    "quotes": [
      "There is no minimum account size or fee for assets under management."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Capital Client Group, Inc.",
      "name_as_filed": "CAPITAL CLIENT GROUP, INC.",
      "affiliated": false
    },
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    }
  ],
  "custodians_note": "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.",
  "markdown_url": "https://advisorcensus.com/firm/alexander-investment-services-co-louisville-ky-1037.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 1145,
      "fewer_than_5": false,
      "raum": 245445369.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 92,
      "fewer_than_5": false,
      "raum": 276196534.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 24,
      "fewer_than_5": false,
      "raum": 55159433.0
    }
  ],
  "disclosure_line": "Reports 1 disclosure item on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/1037",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}