{"url":"https://nivawealth.com/firms/equity-advisors-of-kentucky-116398","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/116398","regulatoryAum":141596255,"crd":"116398","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6158347","suffix":null,"lastName":"FELTY","firstName":"ERIC","middleName":"M"},{"crd":"8015680","suffix":null,"lastName":"LITTRELL","firstName":"KENNETH","middleName":"ALLISTER"},{"crd":"6741511","suffix":"III","lastName":"ROGERS","firstName":"FON","middleName":null}],"total":3,"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":"2021-05-03","regulatoryAum":122636122,"clients":139,"employees":7,"offices":1},{"filedOn":"2022-06-21","regulatoryAum":131313257,"clients":141,"employees":5,"offices":1},{"filedOn":"2023-07-20","regulatoryAum":105515129,"clients":124,"employees":4,"offices":2},{"filedOn":"2024-06-18","regulatoryAum":115869392,"clients":123,"employees":3,"offices":2},{"filedOn":"2025-03-31","regulatoryAum":124997429,"clients":118,"employees":3,"offices":2},{"filedOn":"2026-03-26","regulatoryAum":141596255,"clients":114,"employees":3,"offices":2}],"secFileNumber":"801-112311","legalName":"Equity Advisors of Kentucky Inc","displayName":"Equity Advisors of Kentucky","slug":"equity-advisors-of-kentucky-116398","website":"https://ea-ky.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Kentucky corporation","fiscalYearEnd":"December","headquarters":{"street":"2201 Regency Road, Suite 504","city":"Lexington","state":"KY","stateName":"Kentucky","country":"United States","postalCode":"40503"},"tradeNames":[],"registration":{"secApproved":"12 January 2018","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1242072.4122807018,"staff":{"employees":3,"advisory":3,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":141596255,"discretionary":6603485,"discretionaryAccounts":30,"nonDiscretionary":134992770,"nonDiscretionaryAccounts":500,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":2},"clientTypes":[{"label":"Individuals (other than HNW)","clients":94,"regulatoryAum":95678527},{"label":"High-net-worth individuals","clients":20,"regulatoryAum":45917728}],"feePrograms":[{"role":"other","program":"Tax planning and preparation","summary":"Tax planning and preparation are billed hourly: $200 per hour for staff CFP or CPA work, $100 per hour for paraplanner work and $35 per hour for office administrative work.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1027277","versionId":1027277,"submittedOn":"2026-03-26","documentName":"EAK ADV PART 2 BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T12:22:48.574294+00:00","documents":[{"name":"EAK ADV PART 2 BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1027277","versionId":1027277,"submittedOn":"2026-03-26"}]},"custodians":[{"name":"SEI Private Trust Company","shortName":"SEI Private Trust","location":"Oaks, PA","smaAssets":113280671}],"custodyNote":"Equity Advisors of Kentucky has custody of $120M for 114 clients.","otherCustodians":[],"leadership":[{"name":"Eric Felty","title":"Owner & Chief Compliance Officer","crd":"6158347"},{"name":"Fon Rogers","title":"Owner","crd":"6741511"}],"ownership":[{"label":"Fon Rogers","detail":"Owner in the 50% to 75% ownership band and a control person, since June 2023."},{"label":"Eric Felty","detail":"Owner & chief compliance officer in the 25% to 50% ownership band and a control person, since June 2023."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":1},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Kentucky","offices":1,"addresses":[{"street":"2201 Regency Road, Suite 504","city":"Lexington","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"502-829-9244","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)","Performance-based fees"],"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"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":31},{"label":"Non-exchange-traded equity securities","percent":14},{"label":"U.S. government/agency bonds","percent":3},{"label":"U.S. state and local bonds","percent":1},{"label":"Investment grade corporate bonds","percent":5},{"label":"Non-investment grade corporate bonds","percent":8},{"label":"Securities issued by registered investment companies or business development companies","percent":32},{"label":"Cash and cash equivalents","percent":6}],"privateFunds":0},"sources":{"adv1FilingDate":"26 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/116398/PDF/116398.pdf","brochureDate":"26 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1027277","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 Equity Advisors of Kentucky have?","answer":"Equity Advisors of Kentucky has 114 clients and manages $142 million for them, as of March 2026. They include 94 individual clients and 20 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Equity Advisors of Kentucky offer?","answer":"Equity Advisors of Kentucky 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 Equity Advisors of Kentucky use?","answer":"Equity Advisors of Kentucky’s separately managed account assets are held at SEI Private Trust Company (Oaks, PA), with $113M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 26 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Equity Advisors of Kentucky have?","answer":"Equity Advisors of Kentucky has 3 investment adviser representatives registered with state securities authorities, out of 3 employees, and 3 perform investment advisory functions. None are registered representatives of a broker-dealer or 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 Equity Advisors of Kentucky invest in?","answer":"At the end of its last fiscal year, Equity Advisors of Kentucky’s separately managed accounts held 32% registered funds (mutual funds, ETFs, BDCs), 31% exchange-traded equities, 14% non-exchange-traded equities, 8% high-yield corporate bonds, 6% cash and equivalents, 5% investment grade corporate bonds, 3% U.S. government and agency bonds and 1% state and local bonds.","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 Equity Advisors of Kentucky?","answer":"Equity Advisors of Kentucky’s direct owners are Fon Rogers (50% to 75%) and Eric Felty (25% to 50%).","source":"Form ADV Part 1A, Schedules A and B, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Equity Advisors of Kentucky get paid?","answer":"Equity Advisors of Kentucky is paid through a percentage of assets under management, hourly charges, fixed fees and performance-based fees. Its Form ADV lists no commissions 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 Equity Advisors of Kentucky?","answer":"Equity Advisors of Kentucky’s main office is at 2201 Regency Road, Suite 504, Lexington, KY 40503. Its phone number is 502-829-9244. Its website is ea-ky.com.","source":"Form ADV Part 1A, Item 1.F, filed 26 March 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."}