{ "crd_number": 116398, "slug": "equity-advisors-of-kentucky-inc-lexington-ky-116398", "primary_business_name": "EQUITY ADVISORS OF KENTUCKY INC", "legal_name": "EQUITY ADVISORS OF KENTUCKY INC", "dbas": [], "city": "Lexington", "state": "KY", "country": "United States", "cbsa_code": "30460", "metro": { "cbsa_code": "30460", "common_name": "Lexington", "msa_name": "Lexington-Fayette, KY", "path": "/advisors/ky/lexington" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2018-01-12", "years_registered": 8, "period": "2026-10-01", "filing_date": "2026-03-26", "carried_forward": false, "raum_total": 141596255.0, "raum_discretionary": 6603485.0, "raum_non_discretionary": 134992770.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 3, "advisory_employees": 3, "client_count_bucket": null, "clients_by_type": { "individuals": { "raum": 95678527.0, "count": 94 }, "high_net_worth_individuals": { "raum": 45917728.0, "count": 20 } }, "compensation_types": [ "fixed", "hourly", "percentage_of_aum", "performance_based" ], "advisory_activities": [ "financial_planning", "pension_consulting", "portfolio_management_businesses_institutional", "portfolio_management_individuals" ], "wrap_fee_participant": false, "disclosure_yes_count": 2, "states_registered": [ "FL", "HI", "IN", "KY", "MI", "OH", "TX" ], "websites": [ "https://ea-ky.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/116398", "disclosure_items": [ { "item": "11.D(2)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?" }, { "item": "11.D(5)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?" } ], "city_as_filed": "LEXINGTON", "url": "https://advisorcensus.com/firm/equity-advisors-of-kentucky-inc-lexington-ky-116398", "display_name": "Equity Advisors of Kentucky Inc", "summary": "Equity Advisors of Kentucky Inc is an SEC-registered investment advisory firm in Lexington, KY, registered since 2018, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 26, 2026.", "citation": "AdvisorCensus. Equity Advisors of Kentucky Inc (CRD 116398): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Hourly charges", "Fixed fees (other than subscription fees)", "Performance-based fees" ], "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" ], "quick_answers": [ { "q": "How is Equity Advisors of Kentucky Inc compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Equity Advisors of Kentucky Inc reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees); performance-based fees." }, { "q": "Where is Equity Advisors of Kentucky Inc located?", "a": "Equity Advisors of Kentucky Inc's principal office is in Lexington, KY, according to its Form ADV." }, { "q": "Is Equity Advisors of Kentucky Inc registered with the SEC or a state?", "a": "Equity Advisors of Kentucky Inc is an SEC-registered investment advisory firm, registered since 2018. Status as filed: Approved. CRD 116398." }, { "q": "How much does Equity Advisors of Kentucky Inc manage?", "a": "Equity Advisors of Kentucky Inc reports $141,596,255 in regulatory assets under management in its Form ADV filing dated March 26, 2026 (5% discretionary)." }, { "q": "How have Equity Advisors of Kentucky Inc's assets and staff changed since 2021?", "a": "In the Form ADV data for Equity Advisors of Kentucky Inc: Regulatory assets under management: $122,636,122 in the October 2021 data and $141,596,255 in the October 2026 data, up 15%. Total employees: 7 in October 2021 and 3 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Equity Advisors of Kentucky Inc serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (94); high net worth individuals (20)." }, { "q": "Which custodians does Equity Advisors of Kentucky Inc use?", "a": "Equity Advisors of Kentucky Inc's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists SEI Private Trust Company as a custodian holding 10% or more of its separately managed account assets." }, { "q": "Does Equity Advisors of Kentucky Inc report any disciplinary disclosures?", "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation) and 11.D(5) (another regulator's denial, suspension, or revocation of a registration or license, bar, or restriction). 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/116398" }, { "q": "What changed in Equity Advisors of Kentucky Inc's recent Form ADV filings?", "a": "In the April 2026 filing data: Regulatory assets under management went from $124,997,429 to $141,596,255 (+13%)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 122636122.0, "total_employees": 7, "filing_date": "2021-05-03" }, { "period": "2022-10-01", "regulatory_assets_under_management": 131313257.0, "total_employees": 5, "filing_date": "2022-06-21" }, { "period": "2023-10-01", "regulatory_assets_under_management": 105515129.0, "total_employees": 4, "filing_date": "2023-08-15" }, { "period": "2024-10-01", "regulatory_assets_under_management": 115869392.0, "total_employees": 3, "filing_date": "2024-08-21" }, { "period": "2025-10-01", "regulatory_assets_under_management": 124997429.0, "total_employees": 3, "filing_date": "2025-03-31" }, { "period": "2026-10-01", "regulatory_assets_under_management": 141596255.0, "total_employees": 3, "filing_date": "2026-03-26" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Regulatory assets under management went from $124,997,429 to $141,596,255 (+13%)." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "SEI Private Trust Company", "name_as_filed": "SEI PRIVATE TRUST COMPANY", "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/equity-advisors-of-kentucky-inc-lexington-ky-116398.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 94, "fewer_than_5": false, "raum": 95678527.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 20, "fewer_than_5": false, "raum": 45917728.0 } ], "disclosure_line": "Reports 2 disclosure items 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/116398", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }