← Directory
RICKETTS FINANCIAL, LLC
CRD 309381File 801-118963
APPROVED
Retail clients
Filing as of Mar 26, 2026
Feed vintage Aug 17, 2026
Regulatory AUM
$314.0M
Below cohort median (national)
Discretionary AUM
$309.3M
Non-discretionary $4.7M
Clients
115
288 accounts
Employees
3
Below cohort median in KY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- CHRO
- Registration date
- Jun 22, 2020
- Principal office
- 4360 BROWNSBORO ROAD, SUITE 115, LOUISVILLE, KY, 40207
- Phone
- (502) 396-4055
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $314.0M
- Discretionary AUM
- $309.3M
- Non-discretionary AUM
- $4.7M
- Discretionary accounts
- 287
- Non-discretionary accounts
- 1
- Total accounts
- 288
- AUM per client
- $2.7M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 49 | $295.4M |
| Pension and profit sharing plans | Fewer than 5 | $4.7M |
| Individuals (other than high net worth individuals) | 66 | $13.9M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for businesses
- 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 |
|---|---|---|---|
| Aug 12, 2026 | Registration | — | APPROVED |
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.