Equity Advisors Of Kentucky Inc (Waddy)

Equity Advisors Of Kentucky Inc is a large advisory firm based in Waddy. It manages $104.51 million of regulatory assets for 135 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdiction of Kentucky.

Equity Advisors Of Kentucky provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and pension consulting services. It prepares financial plans for more than 100 clients. On top of advisory services, the firm doesn't engage in other business activities.

Equity Advisors Of Kentucky: assets under management

The assets under management (AUM) of Equity Advisors Of Kentucky Inc is $104.51 million. The firm's AUM has gone down by -15% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $3.3 million in discretionary accounts and $101.21 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $3.3 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $755.31 thousand.

Equity Advisors Of Kentucky has custody of $71.71 million in cash and securities for 100 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in other assets the most. They account for 85% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 10% of the firm’s portfolio. Investments in exchange traded securities form 5% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Equity Advisors Of Kentucky Inc for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and performance-based fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Brian Anthony Guilliom serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Brian Anthony Guilliom is high net worth individuals with 36 clients and $77.45 million of assets under management. Among the 8 most similar advisory firms, Equity Advisors Of Kentucky has the 4th highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $104.51 million for 135 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Equity Advisors Of Kentucky doesn't advise any private funds.

Careers at Equity Advisors Of Kentucky Inc

The company employs 8 people that are either part- or full-time employees. 38 percent of the employees work as investment advisers or researchers. Only one employee is registered as an investment adviser representative with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Brian Anthony Guilliom has been acting as President since 1 Oct 1998. Fon Rogers joined the executive team most recently as the Certified Financial Planner.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Brian Anthony Guilliom	President/ chief compliance officer	1 Oct 1998	25% - 50%	1472349
Heather L Guilliom	Associate planner	1 Jan 2008	Other	5638584
Nancy Guilliom	Secretary	1 Jan 2009	25% - 50%	5775712
Heather L Guilliom	Vice president	1 Jan 2009	25% - 50%	5638584
Fon Rogers	Certified financial planner	1 Jan 2018	Other	6741511
Jennifer Sue Macedo	Financial analyst	1 Jan 2018	Other	7033861

Based in Waddy

The principal office where Equity Advisors Of Kentucky Inc performs its advisory services is located at 3060 Waddy Road, Waddy, KY 40076 The mailing address of the firm is Po Box 5009, Waddy, KY 40059. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 502-829-9244 or by fax 502-681-9971. The normal business hours are 8am to 5pm on Other.