Wealth manager, independent · Louisville, KY
Strategic Wealth Investment Group, LLC
SEC-registered investment adviser · CRD 165474 · SEC 801-117642
At a glance
Strategic Wealth Investment Group, LLC is an SEC-registered investment adviser based in Louisville, Kentucky, with $1.4B in regulatory assets under management as of its Form ADV filed March 23, 2026. It reports 3,900 individual clients, 286 of them high-net-worth, holding an average of about $0.4 million each, and 88 employees. That ranks it 801st among the nation’s 5,657 independent wealth management RIAs and 7th of 47 in Kentucky. It reports Charles Schwab as the custodian for its clients’ separately managed accounts.
Main office 502-412-3354As filed on Form ADV
- Regulatory AUM
- $1.4B
- Rank among independent wealth managers
- #801 of 5,657
- Rank among all SEC RIAs
- #4,478 of 17,210
- Rank in Kentucky
- #7 of 47
- Individual clients
- 3,900
- High-net-worth clients
- 286
- Accounts
- 8,606
- Discretionary
- 100% of AUM
- Employees
- 88
- Advisory staff
- 41
- Offices
- 20
Owners and executives on its Form ADV
- Matthew J. DickenFounder/ceo
- Jordan SchwartzPartner
- Laurin M. ScaffidiDirector of Culture & Strategic Initiatives
- Peter C. GayleCCO
Custody and brokerage
Broker-dealer
No broker-dealer ties
Strategic Wealth Investment Group, LLC reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 3,614 | $913M | 66% |
| High-net-worth individuals | 286 | $472M | 34% |
Disciplinary disclosures
Strategic Wealth Investment Group, 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
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Hourly charges
Form ADV and brochures on the SEC’s adviser search ↗
AtlasMembers
The full record on Strategic Wealth Investment Group, 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, 6 years of filings
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- Growth over one, three and five years
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- Rank against 2,685 peers of its type and size
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- Owners and executives, with titles and stakes
- 4 namedLocked
- Main office, fax and compliance officer
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- 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.
Similar-size RIAs in Kentucky
All of Kentucky →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Journey Advisory Group, LLCCovington | $1.7B | 859 |
| The Gleason Group, Inc.Prospect | $1.6B | 262 |
| Legacy Financial Advisors, Inc.Covington | $1.5B | 1,061 |
| KPP Advisory Services LLCLouisville | $1.2B | 3,995 |
Background
Questions
How much does Strategic Wealth Investment Group, LLC manage?
Strategic Wealth Investment Group, LLC reports $1.4B in regulatory assets under management across 8,606 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 23, 2026.
How many clients does Strategic Wealth Investment Group, LLC have?
It reports 3,900 individual clients: 286 high-net-worth individuals and 3,614 other individuals. Individuals account for about 100% of its regulatory assets.
Where is Strategic Wealth Investment Group, LLC headquartered?
Its main office is in Louisville, Kentucky. It reports 20 offices in total and 88 employees, 41 of whom perform investment advisory functions.
How does Strategic Wealth Investment Group, LLC charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; hourly charges. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Strategic Wealth Investment Group, LLC use?
It reports Charles Schwab as the custodian for its clients’ separately managed accounts. On Schedule D of its Form ADV filed March 23, 2026, it reports these amounts held: Charles Schwab ($1.4B). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Strategic Wealth Investment Group, LLC a hybrid RIA with a broker-dealer?
Strategic Wealth Investment Group, LLC reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Is Strategic Wealth Investment Group, LLC a fiduciary?
As an SEC-registered investment adviser, Strategic Wealth Investment Group, LLC owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. It reports no employees who are registered representatives of a broker-dealer.
Where these numbers come from
Every figure is Strategic Wealth Investment Group, 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 (2026-03-23), 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). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. 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 →