Broker-dealer firm · Louisville, KY
Alexander Investment Services Co.
SEC-registered investment adviser · CRD 1037 · SEC 801-10334
At a glance
Alexander Investment Services Co. is an SEC-registered investment adviser based in Louisville, Kentucky, with $577 million in regulatory assets under management as of its Form ADV filed September 29, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 1,237 individual clients. By Form ADV it is a broker-dealer firm, ranked 196th of 391 broker-dealer firms and 7,249th of 17,210 SEC-registered advisers by assets.
Main office 502-459-4414aisretirement.comAs filed on Form ADV
- Regulatory AUM
- $577M
- Rank among broker-dealer firms
- #196 of 391
- Rank among all SEC RIAs
- #7,249 of 17,210
- Rank in Kentucky
- #31 of 85
- Individual clients
- 1,237
- High-net-worth clients
- 92
- Accounts
- 1,514
- Discretionary
- 3% of AUM
- Employees
- 21
- Advisory staff
- 9
- Offices
- 3
Owners and executives on its Form ADV
- Leo Andrew HanleinOwner, Principal, Director, President, Chief Compliance Officer
- Richard Lynn FoxOwner, Principal, Director, Vice-President
- Thomas Craig WilsonOwner, Municipal Securities Principal
- John Bradley StillwagonOwner
- Michael Andrew HanleinOwner, Principal, Director, Financial Principal, Municipal Securities Principal
- Drew Stephenson AdamsOwner, Principal, Director
Custody and brokerage
Broker-dealer
Hybrid RIA
Alexander Investment Services Co. is a hybrid RIA: 12 of its employees are also registered representatives of a broker-dealer.
Form ADV Part 1 doesn’t name an unaffiliated broker-dealer. The firm’s Part 2A brochure (Item 10) and each adviser’s record on the SEC’s adviser search do.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 92 | $276M | 48% |
| Individuals | 1,145 | $245M | 43% |
| Pension and profit sharing plans | 24 | $55M | 10% |
Disciplinary disclosures
Alexander Investment Services Co. answers yes to 1 disclosure item in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Other services
How it’s paid
- A percentage of assets under management
- Fixed fees
- Commissions
- Other
Form ADV and brochures on the SEC’s adviser search ↗aisretirement.com ↗
AtlasMembers
The full record on Alexander Investment Services Co.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
- Locked
- Growth over one, three and five years
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- Rank against 146 peers of its type and size
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- Owners and executives, with titles and stakes
- 6 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 3Locked
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Background
Questions
How much does Alexander Investment Services Co. manage?
Alexander Investment Services Co. reports $577 million in regulatory assets under management across 1,514 accounts, 3% of it on a discretionary basis, on its Form ADV filed September 29, 2026.
What kind of firm is Alexander Investment Services Co.?
Alexander Investment Services Co. is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are Alexander Investment Services Co.’s clients?
By assets, its largest client types are high-net-worth individuals ($276 million, 92 clients); individuals ($245 million, 1,145 clients); pension and profit sharing plans ($55 million, 24 clients).
Does Alexander Investment Services Co. have any disciplinary history?
Alexander Investment Services Co. answers yes to 1 disclosure item in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Alexander Investment Services Co.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-29), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →