{
  "crd_number": 120222,
  "slug": "private-client-services-llc-louisville-ky-120222",
  "primary_business_name": "PRIVATE CLIENT SERVICES, LLC",
  "legal_name": "PRIVATE CLIENT SERVICES, LLC",
  "dbas": [
    "AFFIANCE FINANCIAL",
    "BLUE OCEAN GLOBAL WEALTH",
    "BRIGHTLINE FINANCIAL",
    "BURKE FINANCIAL SERVICES",
    "DUGAN FINANCIAL SERVICES",
    "ENTHEOS FINANCIAL",
    "EVERGREEN STRATEGIC WEALTH",
    "FINANCIAL CONSULTANTS GROUP",
    "FIORI FINANCIAL",
    "HAFELE INVESTMENTS",
    "HERITAGE WEALTH GROUP",
    "IARANN WEALTH",
    "IMPACT WEALTH GROUP",
    "J&G FINANCIAL",
    "KENTUCKY FINANCIAL GROUP",
    "LINDLE HENNESSEY GROUP",
    "MARION INVESTMENT ADVISORS",
    "MCGILL FINANCIAL ENSEMBLE",
    "PCS ADVISORS",
    "SILVERLEAF WEALTH ADVISORY",
    "UDELL ASSOCIATES, LLC",
    "US PLANNING GROUP",
    "WEALTHHYVE ADVISORS"
  ],
  "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": "2010-05-25",
  "years_registered": 16,
  "period": "2026-10-01",
  "filing_date": "2026-03-14",
  "carried_forward": false,
  "raum_total": 1383095742.0,
  "raum_discretionary": 561608364.0,
  "raum_non_discretionary": 821487378.0,
  "raum_band": "1b_5b",
  "raum_band_label": "$1 billion to $5 billion",
  "total_employees": 60,
  "advisory_employees": 50,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 1010357113.0,
      "count": 8529
    },
    "pension_profit_sharing": {
      "raum": 750841.0,
      "count": 35
    },
    "high_net_worth_individuals": {
      "raum": 364765058.0,
      "count": 194
    },
    "corporations_other_businesses": {
      "raum": 7222730.0,
      "count": 7
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "educational_seminars",
    "financial_planning",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 2,
  "states_registered": [
    "AK",
    "AL",
    "AR",
    "AZ",
    "CA",
    "CO",
    "CT",
    "DC",
    "DE",
    "FL",
    "GA",
    "HI",
    "IA",
    "ID",
    "IL",
    "IN",
    "KS",
    "KY",
    "LA",
    "MA",
    "MD",
    "ME",
    "MI",
    "MN",
    "MO",
    "MS",
    "MT",
    "NC",
    "ND",
    "NE",
    "NH",
    "NJ",
    "NM",
    "NV",
    "NY",
    "OH",
    "OK",
    "OR",
    "PA",
    "RI",
    "SC",
    "SD",
    "TN",
    "TX",
    "UT",
    "VA",
    "VT",
    "WA",
    "WI",
    "WV",
    "WY"
  ],
  "websites": [
    "https://affiancefinancial.com",
    "https://blueoceanglobalwealth.com",
    "https://cfnwm.com",
    "https://facebook.com/AffianceFinancial",
    "https://facebook.com/BlueOceanGlobalWealth",
    "https://facebook.com/marioninvestmentadvisors",
    "https://financialcg.com",
    "https://hafeleinvestments.com",
    "https://kfg.com",
    "https://leannecfp.com",
    "https://linkedin.com/company/affiance-financial",
    "https://linkedin.com/company/private-client-services-investments",
    "https://linkedin.com/in/alex-lindle-a203252",
    "https://linkedin.com/in/andy-fishman-cfp-78483a4",
    "https://linkedin.com/in/brendan-halleron-cfp%C2%AE-aif%C2%AE-bfa%E2%84%A2-5661b334",
    "https://linkedin.com/in/brittany-spiller-ammerman-469b7211a",
    "https://linkedin.com/in/carl-hafele-cfa-cpa-b332ab8",
    "https://linkedin.com/in/cfneal",
    "https://linkedin.com/in/chadhemphill",
    "https://linkedin.com/in/cindy-durst-271b72a7",
    "https://linkedin.com/in/cindy-lindle-cfp%C2%AE-565865a",
    "https://linkedin.com/in/daniel-lear-cfp%C2%AE-cpwa%C2%AE-bfa%E2%84%A2-95898a32",
    "https://linkedin.com/in/edward-marion-132688251",
    "https://linkedin.com/in/eric-unger-77559034",
    "https://linkedin.com/in/ericbunnellcfp",
    "https://linkedin.com/in/ernest-sampson-41900850",
    "https://linkedin.com/in/gabriel-levy-cfa-a489a6113",
    "https://linkedin.com/in/gretchen-mahaffey-mba-cfp%C2%AE-3a52ab9",
    "https://linkedin.com/in/howardfriedman1",
    "https://linkedin.com/in/jason-langley-0b05ba8",
    "https://linkedin.com/in/jeff-smith-mba-clu-chfc-83910a",
    "https://linkedin.com/in/jillian-fohr-a004a444",
    "https://linkedin.com/in/kyle-berg-cfp%C2%AE-bfa%E2%84%A2-99916a13",
    "https://linkedin.com/in/marc-usem-34a19a",
    "https://linkedin.com/in/margueritacheng",
    "https://linkedin.com/in/mark-wenzl-a0b68476",
    "https://linkedin.com/in/michael-dugan-b7350513",
    "https://linkedin.com/in/michaelfrieda",
    "https://linkedin.com/in/mitch-oldewurtel-7153016a",
    "https://linkedin.com/in/peter-topping-cfp%C2%AE-chfc%C2%AE-5b49773",
    "https://linkedin.com/in/sabinestovall",
    "https://linkedin.com/in/sammy-kudmani-80709ab",
    "https://linkedin.com/in/steve-lear-81b7054",
    "https://linkedin.com/in/ted-greggis-9418511",
    "https://marioninvestmentadvisors.com",
    "https://mcgillfinancialensemble.com",
    "https://panopticwealth.com",
    "https://pcsadvisors.net",
    "https://pcsbd.net",
    "https://petetopping.com",
    "https://silverleafwealthadvisory.com",
    "https://thewealthplanningcompany.com",
    "https://twitter.com/Capital_Safari",
    "https://twitter.com/langleycapman",
    "https://twitter.com/petetopping",
    "https://uspny.com",
    "https://youtube.com/@leannecfp"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/120222",
  "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(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    }
  ],
  "city_as_filed": "LOUISVILLE",
  "url": "https://advisorcensus.com/firm/private-client-services-llc-louisville-ky-120222",
  "display_name": "Private Client Services, LLC",
  "summary": "Private Client Services, LLC is an SEC-registered investment advisory firm in Louisville, KY, registered since 2010, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 14, 2026.",
  "citation": "AdvisorCensus. Private Client Services, LLC (CRD 120222): 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)"
  ],
  "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",
    "Selection of other advisers (including private fund managers)",
    "Educational seminars/workshops"
  ],
  "quick_answers": [
    {
      "q": "How is Private Client Services, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Private Client Services, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)."
    },
    {
      "q": "Where is Private Client Services, LLC located?",
      "a": "Private Client Services, LLC's principal office is in Louisville, KY, according to its Form ADV; the April 2026 filing also lists 21 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Private Client Services, LLC registered with the SEC or a state?",
      "a": "Private Client Services, LLC is an SEC-registered investment advisory firm, registered since 2010. Status as filed: Approved. CRD 120222."
    },
    {
      "q": "How much does Private Client Services, LLC manage?",
      "a": "Private Client Services, LLC reports $1,383,095,742 in regulatory assets under management in its Form ADV filing dated March 14, 2026 (41% discretionary)."
    },
    {
      "q": "How have Private Client Services, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Private Client Services, LLC: Regulatory assets under management: $455,270,350 in the October 2021 data and $1,383,095,742 in the October 2026 data, up 204%. Total employees: 57 in October 2021 and 60 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Private Client Services, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (8,529); high net worth individuals (194); pension and profit sharing plans (but not the plan participants or government pension plans) (35)."
    },
    {
      "q": "Does Private Client Services, LLC 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(4) (another regulator's order in the past ten years). 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/120222"
    },
    {
      "q": "What changed in Private Client Services, LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Regulatory assets under management went from $1,051,273,980 to $1,383,095,742 (+32%). Added an office in Durham, NC. Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 455270350.0,
      "total_employees": 57,
      "filing_date": "2021-05-28"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 615084214.0,
      "total_employees": 57,
      "filing_date": "2022-03-31"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 663057627.0,
      "total_employees": 60,
      "filing_date": "2023-08-09"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 845810789.0,
      "total_employees": 60,
      "filing_date": "2024-07-10"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 1051273980.0,
      "total_employees": 60,
      "filing_date": "2025-05-19"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 1383095742.0,
      "total_employees": 60,
      "filing_date": "2026-03-14"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $1,051,273,980 to $1,383,095,742 (+32%).",
        "Added an office in Durham, NC.",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2025-12-01",
      "period_label": "December 2025",
      "notes": [
        "Added the business name Udell Associates, LLC.",
        "Added an office in Sarasota, FL."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/private-client-services-llc-louisville-ky-120222.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 8529,
      "fewer_than_5": false,
      "raum": 1010357113.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 194,
      "fewer_than_5": false,
      "raum": 364765058.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 35,
      "fewer_than_5": false,
      "raum": 750841.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 7,
      "fewer_than_5": false,
      "raum": 7222730.0
    }
  ],
  "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/120222",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}