Wealth manager, independent · Louisville, KY
Ricketts Financial, LLC
SEC-registered investment adviser · CRD 309381 · SEC 801-118963
At a glance
Ricketts Financial, LLC is an SEC-registered investment adviser based in Louisville, Kentucky, with $314 million in regulatory assets under management as of its Form ADV filed March 26, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 115 individual clients. By Form ADV it is a wealth manager, ranked 4,246th of 8,915 wealth managers and 9,940th of 17,210 SEC-registered advisers by assets.
Main office 502-396-4055ricketts-financial.comAs filed on Form ADV
- Regulatory AUM
- $314M
- Rank among wealth managers
- #4,246 of 8,915
- Rank among all SEC RIAs
- #9,940 of 17,210
- Rank in Kentucky
- #55 of 85
- Individual clients
- 115
- High-net-worth clients
- 49
- Accounts
- 288
- Discretionary
- 99% of AUM
- Employees
- 3
- Advisory staff
- 1
- Offices
- 1
Owners and executives on its Form ADV
- Patrick H. RickettsChief Compliance Officer & Principal
- Christopher M. RickettsPrincipal
Custody and brokerage
Broker-dealer
Hybrid RIA
Ricketts Financial, LLC is a hybrid RIA: 1 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed March 2026) names American Equity as the broker-dealer its advisers are registered with.
Registered Representatives of a Broker-Dealer Certain of the Firm’s Supervised Persons are registered representatives of American Equity and provide clients with securities brokerage services under a separate commission -based arrangement.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 49 | $295M | 94% |
| Individuals | 66 | $14M | 4% |
| Pension and profit sharing plans | – | $5M | 1% |
Disciplinary disclosures
Ricketts Financial, LLC reports no disciplinary disclosures in Item 11 of Form ADV. 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
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗ricketts-financial.com ↗
AtlasMembers
The full record on Ricketts Financial, LLC
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, 5 years of filings
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- Growth over one, three and five years
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- Rank against 6,556 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Ricketts Financial, LLC manage?
Ricketts Financial, LLC reports $314 million in regulatory assets under management across 288 accounts, 99% of it on a discretionary basis, on its Form ADV filed March 26, 2026.
What kind of firm is Ricketts Financial, LLC?
Ricketts Financial, LLC is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Ricketts Financial, LLC’s clients?
By assets, its largest client types are high-net-worth individuals ($295 million, 49 clients); individuals ($14 million, 66 clients); pension and profit sharing plans ($5 million).
Does Ricketts Financial, LLC have any disciplinary history?
Ricketts Financial, LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Ricketts Financial, LLC’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 (2026-03-26), 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 →