← Directory
ADVANTAGE INVESTMENT MANAGEMENT
Legal name: GARTON AND ASSOCIATES FINANCIAL ADVISORS LLC
CRD 146493File 801-125798
APPROVED
Retail clients
Filing as of Aug 12, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$215.4M
Below cohort median (national)
Discretionary AUM
$167.9M
Non-discretionary $47.5M
Clients
369
369 accounts
Employees
10
Bottom 25% of cohort in KY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- CHRO
- Registration date
- May 2, 2022
- Principal office
- 2319 LIME KILN LANE, SUITE A, LOUISVILLE, KY, 40222
- Phone
- 502-212-3000
- Website
- HTTP://WWW.AIM-RPS.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $215.4M
- Discretionary AUM
- $167.9M
- Non-discretionary AUM
- $47.5M
- Discretionary accounts
- 323
- Non-discretionary accounts
- 46
- Total accounts
- 369
- AUM per client
- $584K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 4 | $32K |
| Charitable organizations | Fewer than 5 | $7.1M |
| High net worth individuals | 43 | $110.6M |
| Pension and profit sharing plans | 8 | $25.0M |
| Individuals (other than high net worth individuals) | 310 | $72.7M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for other
- Portfolio management for pooled investment vehicles
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 8 | 10 | increased by2 |
| Apr 1, 2026 | Clients | 386 | 369 | decreased by17 |
| Apr 1, 2026 | AUM | $184,871,474 | $215,376,210 | increased by$30,504,736 |
| Apr 1, 2026 | Accounts | 386 | 369 | decreased by17 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 459 | 386 | decreased by73 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $149,526,603 | $184,871,474 | increased by$35,344,871 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 745 | 386 | decreased by359 |
| Jun 1, 2022 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “ADVANTAGE INVESTMENT” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“ADVANTAGE INVESTMENT” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.