Data / Investment advisers / Kentucky / Spectrum Financial Alliance, LTD., L.L.C.
Spectrum Financial Alliance, LTD., L.L.C., Nicholasville, KY: $813 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Spectrum Financial Alliance, LTD., L.L.C. is an SEC registered investment adviser with its main office in Nicholasville, Kentucky and reports $813 million in regulatory assets under management in its Form ADV filed August 10, 2026. Its clients include high net worth individuals and individuals. It is paid through a percentage of assets under management and fixed fees.
The request: Watch Spectrum Financial Alliance, LTD., L.L.C. (CRD number 125147): each new Form ADV amendment, with AUM, clients and private funds. $10 of work on sign-up, no card.
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- Registration
- SEC registered investment adviser
- CRD number
- 125147
- SEC file number
- 801-79371
- SEC status
- Approved, effective March 31, 2014
- Main office
- 105 Wind Haven Drive, Nicholasville, KY 40356
- Phone
- (859) 223-6333
- Regulatory AUM
- $813,014,305 in the Form ADV filed August 10, 2026
- Discretionary AUM
- $813,014,305
- Accounts
- 2,056
- Employees
- 14, of which 3 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management, fixed fees
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- August 10, 2026
- 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 | 287 | $676.8 million |
| Individuals (other than high net worth individuals) | 387 | $136.3 million |
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 |
|---|---|---|
| September 1, 2026 | $813 million | August 10, 2026 |
| July 1, 2026 | $800.5 million | June 23, 2026 |
| June 1, 2026 | $728.4 million | May 28, 2026 |
| May 1, 2026 | $662.9 million | April 22, 2026 |
| April 1, 2026 | $653.6 million | March 31, 2026 |
| December 1, 2025 | $516.9 million | October 28, 2025 |
Other advisers in Kentucky
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Parthenon LLC | Louisville | $1.22 billion | 1 | adviserinfo.sec.gov |
| Waycross Partners, LLC | Louisville | $1.18 billion | Not listed | adviserinfo.sec.gov |
| Harvey Investment Company, LLC | Louisville | $1.03 billion | Not listed | adviserinfo.sec.gov |
| Dupree & Company, Inc. | Lexington | $888.2 million | Not listed | adviserinfo.sec.gov |
| Castellan | Louisville | $882.2 million | 8 | adviserinfo.sec.gov |
| Asio Capital LLC | Lexington | $805.1 million | Not listed | adviserinfo.sec.gov |
| Ballast, Inc. | Lexington | $751.5 million | Not listed | adviserinfo.sec.gov |
| Ramsey Quantitative Systems, Inc. | Louisville | $691.4 million | 2 | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Kentucky
- Advisers with $500 million to $1 billion in AUM
- Advisers serving high net worth individuals
- Advisers serving individuals
- Spectrum Financial Alliance, LTD., L.L.C. on the SEC's adviser search
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.