{ "crd_number": 171446, "slug": "wealth-management-of-kentucky-inc-lexington-ky-171446", "primary_business_name": "WEALTH MANAGEMENT OF KENTUCKY, INC.", "legal_name": "WEALTH MANAGEMENT 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": "state", "registration_status": "APPROVED", "registration_date": "2014-10-21", "years_registered": 11, "period": "2026-10-01", "filing_date": "2026-06-17", "carried_forward": false, "raum_total": 42860391.0, "raum_discretionary": 42860391.0, "raum_non_discretionary": 0.0, "raum_band": "25m_100m", "raum_band_label": "$25 million to $100 million", "total_employees": 3, "advisory_employees": 2, "client_count_bucket": null, "clients_by_type": { "other": { "raum": 0.0, "count": 0 }, "charitable": { "raum": 0.0, "count": 0 }, "individuals": { "raum": 18120144.0, "count": 61 }, "banking_thrift": { "raum": 0.0, "count": 0 }, "state_municipal": { "raum": 0.0, "count": 0 }, "insurance_companies": { "raum": 0.0, "count": 0 }, "investment_companies": { "raum": 0.0, "count": 0 }, "pension_profit_sharing": { "raum": 0.0, "count": 0 }, "other_investment_advisers": { "raum": 0.0, "count": 0 }, "high_net_worth_individuals": { "raum": 21234156.0, "count": 22 }, "pooled_investment_vehicles": { "raum": 0.0, "count": 0 }, "corporations_other_businesses": { "raum": 3506091.0, "count": 4 }, "business_development_companies": { "raum": 0.0, "count": 0 }, "sovereign_wealth_foreign_official": { "raum": 0.0, "count": 0 } }, "compensation_types": [ "hourly", "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "portfolio_management_individuals", "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 2, "states_registered": [ "KY", "TX" ], "websites": [ "https://linkedin.com/company/wealth-management-of-kentucky", "https://wmofky.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/171446", "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": "LEXINGTON", "url": "https://advisorcensus.com/firm/wealth-management-of-kentucky-inc-lexington-ky-171446", "display_name": "Wealth Management of Kentucky, Inc.", "summary": "Wealth Management of Kentucky, Inc. is a state-registered investment advisory firm in Lexington, KY, registered since 2014, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated June 17, 2026.", "citation": "AdvisorCensus. Wealth Management of Kentucky, Inc. (CRD 171446): Form ADV filing data as of October 2026.", "registration_type_label": "State-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Hourly charges" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Selection of other advisers (including private fund managers)" ], "quick_answers": [ { "q": "How is Wealth Management of Kentucky, Inc. compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Wealth Management of Kentucky, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges." }, { "q": "Where is Wealth Management of Kentucky, Inc. located?", "a": "Wealth Management of Kentucky, Inc.'s principal office is in Lexington, KY, according to its Form ADV." }, { "q": "Is Wealth Management of Kentucky, Inc. registered with the SEC or a state?", "a": "Wealth Management of Kentucky, Inc. is a state-registered investment advisory firm, registered since 2014. Status as filed: APPROVED. CRD 171446." }, { "q": "How much does Wealth Management of Kentucky, Inc. manage?", "a": "Wealth Management of Kentucky, Inc. reports $42,860,391 in regulatory assets under management in its Form ADV filing dated June 17, 2026 (100% discretionary)." }, { "q": "What types of clients does Wealth Management of Kentucky, Inc. serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (61); high net worth individuals (22); corporations or other businesses not listed above (4)." }, { "q": "Does Wealth Management 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(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 public record on IAPD: https://adviserinfo.sec.gov/firm/summary/171446" } ], "filing_history": [], "recent_changes": [], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/wealth-management-of-kentucky-inc-lexington-ky-171446.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 61, "fewer_than_5": false, "raum": 18120144.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 22, "fewer_than_5": false, "raum": 21234156.0 }, { "type": "banking_thrift", "label": "Banking or thrift institutions", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "investment_companies", "label": "Investment companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "business_development_companies", "label": "Business development companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "charitable", "label": "Charitable organizations", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "state_municipal", "label": "State or municipal government entities (including government pension plans)", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "other_investment_advisers", "label": "Other investment advisers", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "insurance_companies", "label": "Insurance companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "sovereign_wealth_foreign_official", "label": "Sovereign wealth funds and foreign official institutions", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 4, "fewer_than_5": false, "raum": 3506091.0 }, { "type": "other", "label": "Other", "count": 0, "fewer_than_5": false, "raum": 0.0 } ], "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/171446", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }