RICKETTS FINANCIAL, LLC

RIASEC RegisteredEst. 2020

Total AUM

$314M

Discretionary

$309M

99% of AUM

Avg account

$1.1M

Accounts

288

Employees

Advisory reps

Firm details

Headquarters: LOUISVILLE, Kentucky
CRD number: 309381
Registered since: June 22, 2020
Website: www.ricketts-financial.com
Custodians: CHARLES SCHWAB & CO., INC.
Fee structure: Percentage of AUM, Fixed Fees
Client types: HNWI94.08%
Individuals4.43%
Pension & Profit Sharing Plans1.5%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsSelection of Other Advisers

Firm profile

FINTRX

Overview

Ricketts Financial, LLC is an independent registered investment adviser that positions itself as a capital allocator for individual and family clients. The firm combines financial planning with discretionary portfolio management for individuals, small businesses and institutional clients, and also provides selection-of-other-advisers services—indicating routine use of third-party managers for specialized exposures. Ricketts Financial uses a dual fee model (percentage of AUM and fixed fees) and does not report an active ESG investment posture. The firm shows a clear preference for equities as the core portfolio building block and structures relationships through custodial arrangements at Charles Schwab & Co., Inc. Its registration dates to 2020 and the business is owned by an individual, operating as a single-state, independent RIA.