Kathleen Mounce is not listed as a control person, but directly owns between 5% and 10% of Garton and Associates Financial Advisors.
Garton and Associates Financial Advisors is an investment adviser based in Louisville, KY, registered with the SEC since 2022. It provides financial planning and investment management. Its clients include high-net-worth individuals, individual clients, and pension and profit-sharing plans. Its regulatory assets under management total $215 million, as filed on 12 August 2026. Its fees, ownership and offices are on the firm’s profile.
- CRD
- 5489125
- Firm
- Garton and Associates Financial Advisors · CRD 146493
- Role
- Partner
- In role since
- November 2005 · 20 years
- Control person
- Not listed
- Direct ownership
- 5% to 10%
- Firm headquarters
- Louisville, KY
- Individual registration
- No current adviser record · SEC search
- Disciplinary history
- Not yet shown here · SEC record
Where does Kathleen Mounce work?
Kathleen Mounce has been Partner of Garton and Associates Financial Advisors LLC since November 2005.
How can I verify Kathleen Mounce’s record?
Kathleen Mounce’s role is listed on Garton and Associates Financial Advisors LLC’s Form ADV, which the SEC’s adviser search (adviserinfo.sec.gov) publishes under the firm’s CRD 146493.
