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Adviser Profile

As of Date 06/18/2026
Registration SEC, Approved, 06/03/2015
ADV Location LOUISVILLE, KY, United States
Contact Info 502 xxxxxxx
Websites
AUM* 691,360,721 -17%
of that, discretionary 691,360,721 -17%
Number of Employees 20 -9%
of those in investment advisory functions 8
Private Fund GAV* 536,637,311 2%
Avg Account Size 17,727,198 12%
SMA’s Yes
Private Funds 2

Adviser Type

- Large advisory firm

Client Types

- Pooled investment vehicles
- Other

Advisory Activities

- Portfolio management for pooled investment vehicles
- Selection of other advisers

Compensation Arrangments

- A percentage of assets under your management
- Performance-based fees

Reported AUM

839M 719M 599M 479M 360M 240M 120M
2015 2016 2017 2018 2019 2020 2021 2022 2023 2024 2025 2026
Discretionary
Non-discretionary

Private Funds

Employees

Private Funds Structure

Count GAV
{{ TypeColumnLabel }} {{ item.FundType }} Count{{ formatCount(item.FundsCount) }} GAV{{ formatGAV(item.AUM) }}

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Top Holdings

Stock Ticker Stock Name $ Position % Position $ Change # Change
Stck Ticker78462F103 Stock NameSPDR S&P 500 ETF $ Position$94,871,901 % Position85.00% $ Change6.00% # Change-7.00%
Stck Ticker75574U101 Stock NameREADY CAPITAL CORP $ Position$2,185,755 % Position2.00% $ Change8.00% # Change0.00%
Stck Ticker464288414 Stock NameISHARES NATIONAL MUNI BOND E $ Position$1,614,300 % Position1.00% $ Change # Change
Stck Ticker464288513 Stock NameISHARES IBOXX USD HIGH YELD $ Position$1,199,550 % Position1.00% $ Change # Change
Stck Ticker92189H409 Stock NameVANECK HIGH YIELD MUNI ETF $ Position$1,081,710 % Position1.00% $ Change # Change
Stck Ticker74347W130 Stock NamePROSHARES SHORT VIX ST FUTUR $ Position$959,105 % Position1.00% $ Change58.00% # Change-56.00%
Stck Ticker92891H101 Stock Name-1X SHORT VIX FUTURES ETF $ Position$951,200 % Position1.00% $ Change49.00% # Change-46.00%
Stck Ticker670657105 Stock NameNUVEEN AMT-FR QLTY MUNI INC $ Position$739,620 % Position1.00% $ Change # Change
Stck Ticker67070X101 Stock NameNUVEEN DIV ADVNTG MUN FD 3 $ Position$570,600 % Position1.00% $ Change # Change
Stck Ticker67066V101 Stock NameNUVEEN QUALITY MUNICIPAL INC $ Position$436,320 % Position0.00% $ Change # Change

Brochure Summary