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FWG INVESTMENTS, LLC
CRD 284064File 801-112954
APPROVED
Retail clients
Custody
Disclosure events
Filing as of May 22, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$349.0M
Below cohort median (national)
Discretionary AUM
$349.0M
Clients
1,846
3,534 accounts
Employees
27
Below cohort median in KY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- CHRO
- Registration date
- Apr 26, 2018
- Principal office
- 2704 OLD ROSEBUD ROAD, SUITE 160, LEXINGTON, KY, 40509
- Phone
- 859-309-0349
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $349.0M
- Discretionary AUM
- $349.0M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 3,534
- Non-discretionary accounts
- 0
- Total accounts
- 3,534
- AUM per client
- $189K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 5 | $4.4M |
| Charitable organizations | Fewer than 5 | $701K |
| High net worth individuals | 19 | $40.8M |
| Pension and profit sharing plans | 28 | $9.3M |
| Individuals (other than high net worth individuals) | 1,794 | $293.7M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Other
- Publications
- Financial planning services
- Selection of other advisers
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- 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 11- Q11D1
- Q11D2
- Q11D4
- Q11D5
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 20 | 27 | increased by7 |
| Apr 1, 2026 | Custody | No | Yes | |
| Apr 1, 2026 | Clients | 1,434 | 1,846 | increased by412 |
| Apr 1, 2026 | AUM | $250,080,209 | $349,048,767 | increased by$98,968,558 |
| Apr 1, 2026 | Accounts | 2,525 | 3,534 | increased by1,009 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 1,002 | 1,434 | increased by432 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $336,154,949 | $250,080,209 | decreased by$86,074,740 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 1,198 | 2,525 | increased by1,327 |
| Apr 1, 2022 | Clients | 1,773 | 1,002 | decreased by771 |
| Apr 1, 2022 | AUM | $230,208,115 | $336,154,949 | increased by$105,946,834 |
| Apr 1, 2022 | Accounts | 1,773 | 1,198 | decreased by575 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “FWG INVESTMENTS” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“FWG INVESTMENTS” 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.