# Alexander Investment Services Co.

> 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.

- CRD: 1037
- Filed as: ALEXANDER INVESTMENT SERVICES CO.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Louisville, KY
- Filing period: October 2026
- Form ADV filing dated: September 29, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/1037
- AdvisorCensus page: https://advisorcensus.com/firm/alexander-investment-services-co-louisville-ky-1037

## Quick answers

**How is Alexander Investment Services Co. compensated?**
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.

**Where is Alexander Investment Services Co. located?**
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).

**Is Alexander Investment Services Co. registered with the SEC or a state?**
Alexander Investment Services Co. is an SEC-registered investment advisory firm, registered since 1974. Status as filed: Approved. CRD 1037.

**How much does Alexander Investment Services Co. manage?**
Alexander Investment Services Co. reports $576,801,336 in regulatory assets under management in its Form ADV filing dated September 29, 2026 (3% discretionary).

**How have Alexander Investment Services Co.'s assets and staff changed since 2021?**
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.

**What types of clients does Alexander Investment Services Co. serve?**
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).

**Which custodians does Alexander Investment Services Co. use?**
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.

**Does Alexander Investment Services Co. report any disciplinary disclosures?**
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

**What changed in Alexander Investment Services Co.'s recent Form ADV filings?**
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).

## From the Form ADV filing

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

### Fees and minimums (Form ADV Part 2A brochure dated February 11, 2026)

- Minimum annual fee: None

> There is no minimum account size or fee for assets under management.

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

### Custodians (Schedule D, Section 5.K(3))
- Capital Client Group, Inc.
- Charles Schwab & Co., Inc.

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: $576,801,336
- Discretionary: $17,546,467
- Non-discretionary: $559,254,869

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 1,145 | $245,445,369 |
| High net worth individuals | 92 | $276,196,534 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 24 | $55,159,433 |

### Advisory services (Item 5.G)
- 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

### Firm details
- Registered since: 1974 (51 years)
- Employees: 21 total, 9 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, CO, FL, IL, IN, KY, NJ, OH, PA, SC, TN, VA, WV
- Disclosures (Item 11): Reports 1 disclosure item on Form ADV Item 11.

### Item 11 questions answered yes
- 11.E(2): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/1037

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

### Websites listed on Form ADV (Item 1.I)
- aisretirement.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $392,817,405 | 13 | September 28, 2020 |
| October 2022 | $512,777,197 | 13 | September 28, 2022 |
| October 2023 | $488,668,503 | 13 | September 8, 2023 |
| October 2024 | $488,668,503 | 13 | September 8, 2023 |
| October 2025 | $641,355,878 | 13 | February 4, 2025 |
| October 2026 | $576,801,336 | 21 | September 29, 2026 |

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.

## Changes in the filing (last 12 months)

### October 2026
- 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).

### March 2026
- 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).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Alexander Investment Services Co. (CRD 1037): Form ADV filing data as of October 2026.