{"url":"https://nivawealth.com/firms/alexander-investment-services-1037","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/1037","regulatoryAum":576801336,"crd":"1037","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5181929","suffix":null,"lastName":"ADAMS","firstName":"DREW","middleName":"STEPHENSON"},{"crd":"4355109","suffix":null,"lastName":"COLLETT","firstName":"ANCIL","middleName":null},{"crd":"1238021","suffix":null,"lastName":"FOX","firstName":"RICHARD","middleName":"LYNN"},{"crd":"3084350","suffix":null,"lastName":"FRYMIRE","firstName":"JOHN","middleName":"M"},{"crd":"2369588","suffix":null,"lastName":"HANLEIN","firstName":"LEO","middleName":"ANDREW"},{"crd":"6677516","suffix":null,"lastName":"HANLEIN","firstName":"MICHAEL","middleName":"ANDREW"},{"crd":"2431428","suffix":null,"lastName":"STILLWAGON","firstName":"JOHN","middleName":"BRADLEY"},{"crd":"729663","suffix":null,"lastName":"WELLS","firstName":"GERALD","middleName":"ANDREW"},{"crd":"1356727","suffix":null,"lastName":"WILSON","firstName":"THOMAS","middleName":"CRAIG"}],"total":9,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2020-09-28","regulatoryAum":392817405,"clients":1269,"employees":13,"offices":2},{"filedOn":"2022-02-15","regulatoryAum":523728928,"clients":1114,"employees":13,"offices":2},{"filedOn":"2023-09-08","regulatoryAum":488668503,"clients":1165,"employees":13,"offices":2},{"filedOn":"2025-02-04","regulatoryAum":641355878,"clients":1242,"employees":13,"offices":2},{"filedOn":"2026-03-30","regulatoryAum":496269176,"clients":1250,"employees":12,"offices":2},{"filedOn":"2026-09-29","regulatoryAum":576801336,"clients":1261,"employees":21,"offices":3}],"secFileNumber":"801-10334","legalName":"Alexander Investment Services Co.","displayName":"Alexander Investment Services","slug":"alexander-investment-services-1037","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Kentucky corporation","fiscalYearEnd":"June","headquarters":{"street":"909 Lily Creek Road #101","city":"Louisville","state":"KY","stateName":"Kentucky","country":"United States","postalCode":"40243-2808"},"tradeNames":[],"registration":{"secApproved":"7 November 1974","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":421699.19401778496,"staff":{"employees":21,"advisory":9,"brokerDealerReps":12,"insuranceAgents":8,"promoters":0},"aum":{"regulatory":576801336,"discretionary":17546467,"discretionaryAccounts":1,"nonDiscretionary":559254869,"nonDiscretionaryAccounts":1513,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":1145,"regulatoryAum":245445369},{"label":"High-net-worth individuals","clients":92,"regulatoryAum":276196534},{"label":"Pension and profit-sharing plans","clients":24,"regulatoryAum":55159433}],"feePrograms":[{"role":"other","program":"Financial planning","summary":"Financial planning is a fixed fee of up to $1,000, negotiable depending on the complexity and scope of the plan.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1059497","versionId":1059497,"submittedOn":"2026-09-29","documentName":"ALEXANDER INVESTMENT SERVICES ADV BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T05:45:46.475281+00:00","documents":[{"name":"ALEXANDER INVESTMENT SERVICES ADV BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1059497","versionId":1059497,"submittedOn":"2026-09-29"}]},"custodians":[{"name":"Capital Client Group, Inc.","shortName":"Capital Client Group","location":"Los Angeles, CA","smaAssets":89872196},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":486929140}],"custodyNote":"Alexander Investment Services has custody of $266M for 648 clients.","otherCustodians":[],"leadership":[{"name":"Richard Lynn Fox","title":"Owner, Principal, Director, Vice-President","crd":"1238021"},{"name":"Leo Andrew Hanlein","title":"Owner, Principal, Director, President, Chief Compliance Officer","crd":"2369588"},{"name":"Drew Stephenson Adams","title":"Owner, Principal, Director","crd":"5181929"},{"name":"Michael Andrew Hanlein","title":"Owner, Principal, Director, Financial Principal, Municipal Securities Principal","crd":"6677516"},{"name":"John Bradley Stillwagon","title":"Owner","crd":"2431428"},{"name":"Thomas Craig Wilson","title":"Owner, Municipal Securities Principal","crd":"1356727"}],"ownership":[{"label":"Leo Andrew Hanlein","detail":"Owner, principal, director, president, chief compliance officer in the 25% to 50% ownership band and a control person, since September 1998."},{"label":"Richard Lynn Fox","detail":"Owner, principal, director, vice-president in the 10% to 25% ownership band and a control person, since September 1996."},{"label":"Thomas Craig Wilson","detail":"Owner, municipal securities principal in the 10% to 25% ownership band, since September 1998."},{"label":"John Bradley Stillwagon","detail":"Owner in the 10% to 25% ownership band, since January 2026."},{"label":"Michael Andrew Hanlein","detail":"Owner, principal, director, financial principal, municipal securities principal in the 10% to 25% ownership band and a control person, since January 2026."},{"label":"Drew Stephenson Adams","detail":"Owner, principal, director in the 5% to 10% ownership band and a control person, since January 2026."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":2,"privateResidences":1},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Kentucky","offices":2,"addresses":[{"street":"909 Lily Creek Road #101","city":"Louisville","headquarters":true},{"street":"Hendrickson Building Suite 208","city":"Harlan"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"502-459-4414","stateRegisteredReps":9,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)","Commissions","Other"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Other"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":26},{"label":"U.S. government/agency bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":72},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":0},"sources":{"adv1FilingDate":"29 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/1037/PDF/1037.pdf","brochureDate":"29 September 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1059497","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Alexander Investment Services have?","answer":"Alexander Investment Services has 1,261 clients and manages $577 million for them, as of September 2026. They include 1,145 individual clients, 92 high-net-worth individuals, and 24 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 29 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Alexander Investment Services offer?","answer":"Alexander Investment Services provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, and pension consulting.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Alexander Investment Services use?","answer":"Alexander Investment Services’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $487M and Capital Client Group, Inc. (Los Angeles, CA), with $89.9M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 29 September 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Alexander Investment Services have?","answer":"Alexander Investment Services has 9 investment adviser representatives registered with state securities authorities, out of 21 employees, and 9 perform investment advisory functions. 12 employees are registered representatives of a broker-dealer and 8 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Alexander Investment Services invest in?","answer":"At the end of its last fiscal year, Alexander Investment Services’ separately managed accounts held 72% registered funds (mutual funds, ETFs, BDCs), 26% exchange-traded equities, 1% U.S. government and agency bonds and 1% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Alexander Investment Services?","answer":"Alexander Investment Services’ direct owners are Leo Andrew Hanlein, Richard Lynn Fox, Thomas Craig Wilson, John Bradley Stillwagon, Michael Andrew Hanlein and Drew Stephenson Adams, each holding 50% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 29 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Alexander Investment Services get paid?","answer":"Alexander Investment Services is paid through a percentage of assets under management, fixed fees, commissions and other compensation. Its Form ADV lists no performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Alexander Investment Services?","answer":"Alexander Investment Services’ main office is at 909 Lily Creek Road #101, Louisville, KY 40243-2808. Its phone number is 502-459-4414.","source":"Form ADV Part 1A, Item 1.F, filed 29 September 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}