Data / Investment advisers / Kentucky / First Kentucky Securities Corp
First Kentucky Securities Corp, Louisville, KY: $566 million AUM, SEC registered investment adviser
First Kentucky Securities Corp is an SEC registered investment adviser with its main office in Louisville, Kentucky and reports $566 million in regulatory assets under management in its Form ADV filed December 2, 2025. Its clients include high net worth individuals, individuals and state and municipal governments. It is paid through a percentage of assets under management, hourly charges and fixed fees.
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- Registration
- SEC registered investment adviser
- CRD number
- 7524
- SEC file number
- 801-67742
- SEC status
- Approved, effective May 3, 2007
- Legal name
- First Kentucky Securities Corporation
- Main office
- 4360 Brownsboro Road Suite 300, Louisville, KY 40207
- Phone
- (502) 893-7288
- Website
- firstky.com
- Regulatory AUM
- $566,003,046 in the Form ADV filed December 2, 2025
- Discretionary AUM
- $282,287,515
- Non discretionary AUM
- $283,715,531
- Accounts
- 1,530
- Employees
- 19, of which 16 give investment advice
- Form of organization
- Corporation
- Paid through
- a percentage of assets under management, hourly charges, fixed fees, performance based fees, other fees
- Other offices
- 1
- Form ADV Item 11 disclosures
- Reported: SEC or CFTC regulatory actions, other federal, state or foreign regulatory actions, self-regulatory organization actions
- Latest Form ADV filing
- December 2, 2025
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 413 | $369.7 million |
| Individuals (other than high net worth individuals) | 1,108 | $185.2 million |
| State or municipal government entities | 1 | $5.1 million |
| Pension and profit sharing plans | 2 | $3 million |
| Charitable organizations | 4 | $2.2 million |
| Corporations or other businesses | 2 | $849,828 |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| January 2, 2026 | $566 million | December 2, 2025 |
| December 1, 2025 | $678.6 million | December 18, 2024 |
Other advisers in Louisville
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Ramsey Quantitative Systems, Inc. | Louisville | $691.4 million | 2 | adviserinfo.sec.gov |
| Saling Wealth Advisors | Louisville | $617.7 million | Not listed | adviserinfo.sec.gov |
| Atlas Brown | Louisville | $605.2 million | Not listed | adviserinfo.sec.gov |
| Reliant Wealth Planning, LLC | Louisville | $595.2 million | Not listed | adviserinfo.sec.gov |
| Alexander Investment Services Co. | Louisville | $576.8 million | Not listed | adviserinfo.sec.gov |
| Aristides Capital LLC | Louisville | $541.4 million | 4 | adviserinfo.sec.gov |
| Churchill Financial Advisors, LLC | Louisville | $522.9 million | Not listed | adviserinfo.sec.gov |
| Legacy Financial Independent Advisors LLC | Louisville | $484 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Louisville, KY
- Investment advisers in Kentucky
- Advisers with $500 million to $1 billion in AUM
- Advisers serving high net worth individuals
- Advisers serving individuals
- First Kentucky Securities Corp on the SEC's adviser search
Updated November 7, 2026. Read from the SEC's Form ADV data files for investment advisers. Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.