Wealth manager, independent · Prospect, KY
The Gleason Group, Inc.
SEC-registered investment adviser · CRD 175104 · SEC 801-96195
At a glance
The Gleason Group, Inc. is an SEC-registered investment adviser based in Prospect, Kentucky, with $1.6B in regulatory assets under management as of its Form ADV filed June 15, 2026. It reports 262 individual clients, 136 of them high-net-worth, holding an average of about $6.0 million each, and 11 employees. That ranks it 671st among the nation’s 5,657 independent wealth management RIAs and 5th of 47 in Kentucky. It reports Raymond James as the custodian for its clients’ separately managed accounts.
Main office 502-882-7300gleason-group.netLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.6B
- Rank among independent wealth managers
- #671 of 5,657
- Rank among all SEC RIAs
- #4,101 of 17,210
- Rank in Kentucky
- #5 of 47
- Individual clients
- 262
- High-net-worth clients
- 136
- Accounts
- 1,109
- Discretionary
- 98% of AUM
- Employees
- 11
- Advisory staff
- 5
- Offices
- 1
Owners and executives on its Form ADV
- Andrea N. GleasonChief Compliance Officer and Chief Financial Officer
- Gavin T. GleasonChief Executive Officer/president
Custody and brokerage
Broker-dealer
No broker-dealer ties
The Gleason Group, Inc. reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 136 | $1.5B | 95% |
| Individuals | 126 | $47M | 3% |
| Pension and profit sharing plans | 10 | $26M | 2% |
| Corporations or other businesses | 4 | $9M | <1% |
Disciplinary disclosures
The Gleason Group, Inc. 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
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗gleason-group.net ↗
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- Assets, accounts, clients and staff, ten years of filings
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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 |
|---|---|---|
| MCF Advisors, LLCLexington | $4.7B | 3,440 |
| Keystone Financial Group, LLCLexington | $2.3B | 6,602 |
| Journey Advisory Group, LLCCovington | $1.7B | 859 |
| Legacy Financial Advisors, Inc.Covington | $1.5B | 1,061 |
| Strategic Wealth Investment Group, LLCLouisville | $1.4B | 3,900 |
| KPP Advisory Services LLCLouisville | $1.2B | 3,995 |
Background
Questions
How much does The Gleason Group, Inc. manage?
The Gleason Group, Inc. reports $1.6B in regulatory assets under management across 1,109 accounts, 98% of it on a discretionary basis, on its Form ADV filed June 15, 2026.
How many clients does The Gleason Group, Inc. have?
It reports 262 individual clients: 136 high-net-worth individuals and 126 other individuals. Individuals account for about 98% of its regulatory assets.
Where is The Gleason Group, Inc. headquartered?
Its main office is in Prospect, Kentucky. It reports 1 office in total and 11 employees, 5 of whom perform investment advisory functions.
How does The Gleason Group, Inc. charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does The Gleason Group, Inc. use?
It reports Raymond James as the custodian for its clients’ separately managed accounts. On Schedule D of its Form ADV filed June 15, 2026, it reports these amounts held: Raymond James ($1.6B). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is The Gleason Group, Inc. a hybrid RIA with a broker-dealer?
The Gleason Group, Inc. reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Is The Gleason Group, Inc. a fiduciary?
As an SEC-registered investment adviser, The Gleason Group, Inc. 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 The Gleason Group, Inc.’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 (2026-06-15), 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 →