Garton and Associates Financial Advisors LLC
● SEC registered since 2022CRD 146493SEC# 801-125798Louisville, KY
Reg. AUM
$215.4M
Employees
10
Accounts
369
Location
Louisville, KY
Garton and Associates Financial Advisors LLC assets under management
Garton and Associates Financial Advisors LLC is an investment advisory firm registered with the SEC based in Louisville, KY. The firm has been registered since 2022. It reports $215.4 million in regulatory assets under management and employs 10 people.
Garton and Associates Financial Advisors LLC owners & executives
3 reported| Name | Title | Ownership | Since |
|---|---|---|---|
| Donald Lee Garton Control | Managing Partner, Chief Compliance Officer | Over 75% | 2004 |
| Kathleen Mounce | Partner | 5-10% | 2005 |
| Michael Joseph Garton | Part Owner | Under 5% | 2020 |
Frequently asked questions
How much does Garton and Associates Financial Advisors LLC manage?
Garton and Associates Financial Advisors LLC reports $215.4 million in regulatory assets under management on its Form ADV.
How many employees does Garton and Associates Financial Advisors LLC have?
Garton and Associates Financial Advisors LLC reports 10 employees.
Where is Garton and Associates Financial Advisors LLC located?
Garton and Associates Financial Advisors LLC is based in Louisville, KY and has been SEC-registered since 2022.
Does Garton and Associates Financial Advisors LLC disclose fund performance?
Garton and Associates Financial Advisors LLC is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.
Contact & registration
| Address | 2319 Lime Kiln Lane, Suite a, Louisville, KY 40222 |
| Phone | 502-212-3000 |
| Fax | 502-212-3001 |
| Office hours | 8:30 a.m. - 5:30 p.m. |
| SEC region | Chicago Regional Office (CHRO) |
| Discloses disciplinary history | No |
Regulatory AUM
$215.4M▲ 17%
Mar '25Form ADV, monthlyJun '26
How this firm compares
Regulatory AUMTop 72%
Larger than 28% of 16,271 advisers
EmployeesTop 40%
More than 60% of 16,825 advisers
Assets under management
$215.4Mregulatory AUM
Discretionary $167.9MNon-discretionary $47.5M