Garton and Associates Financial Advisors provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, and pension consulting. Financial planning was provided to 1–10 clients last fiscal year.
Garton and Associates Financial Advisors reports 369 clients. They include 310 individual clients, 43 high-net-worth individuals, and 8 pension and profit-sharing plans. Of its assets, 77.9% ($168M across 323 accounts) are managed with discretion; $47.5M across 46 accounts are not.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 84% | 34% |
| High-net-worth individuals | 12% | 51% |
| Pension and profit-sharing plans | 2% | 12% |
| Charitable organizations | 1% | 3% |
| Corporations and other businesses | 1% | <1% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 310 | $72.7M | 33.7% | $234K |
| High-net-worth individuals | 43 | $111M | 51.3% | $2.57M |
| Pension and profit-sharing plans | 8 | $25M | 11.6% | $3.12M |
| Charitable organizations | Fewer than 5 | $7.12M | 3.3% | $1.78M |
| Corporations and other businesses | 4 | $31.7K | 0.0% | $7.94K |
| Total | 369 | $215M | 100% | — |
- Clients
- 310
- Regulatory AUM
- $72.7M
- AUM share
- 33.7%
- Avg. per client
- $234K
- Clients
- 43
- Regulatory AUM
- $111M
- AUM share
- 51.3%
- Avg. per client
- $2.57M
- Clients
- 8
- Regulatory AUM
- $25M
- AUM share
- 11.6%
- Avg. per client
- $3.12M
- Clients
- Fewer than 5
- Regulatory AUM
- $7.12M
- AUM share
- 3.3%
- Avg. per client
- $1.78M
- Clients
- 4
- Regulatory AUM
- $31.7K
- AUM share
- 0.0%
- Avg. per client
- $7.94K
Total
- Clients
- 369
- Regulatory AUM
- $215M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 1–10
Garton and Associates Financial Advisors charges up to 1.25% a year for its Investment Management. The fee is billed in arrears and is negotiable. The brochure also prices 2 other services, listed under fee details.
Fee details and sources
Other fees
- Consulting Services
- Hourly consulting, generally $250 per hour, billed as mutually agreed; negotiable.
- Financial Planning
- Fixed fee from $1,500 to $25,000 or $250 per hour, as agreed in the planning agreement; negotiable. Prepayment of more than $1,200 is not required or solicited six months or more in advance.
Donald Garton owns 75% or more of Garton and Associates Financial Advisors. The leadership team of Garton and Associates Financial Advisors includes Chief Compliance Officer Donald Garton. It has 10 employees, 5 of them in advisory roles.
Staff
- 10 employees
- 5 in advisory functions
- 5 state-registered reps
- 3 insurance agents
- Owns 75% or more of Garton and Associates Financial Advisors LLC
Donald Garton
Control person · since December 2004
- Owns 5% to 10% of Garton and Associates Financial Advisors LLC
Kathleen Mounce
since November 2005
Garton and Associates Financial Advisors’ regulatory assets grew from $150M (May 2022) to $215M (August 2026); clients fell from 459 to 369 and employees rose from 8 to 10.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Aug 2026August 2026 | $215M | 369 | 10 | 2 |
| Mar 2025March 2025 | $185M | 386 | 8 | 2 |
| Mar 2024March 2024 | $160M | 372 | 8 | 2 |
| Apr 2023April 2023 | $137M | 448 | 8 | 2 |
| May 2022May 2022 | $150M | 459 | 8 | 2 |
Besides its headquarters, Garton and Associates Financial Advisors has 1 office, with 2 listed addresses in 1 state.
Kentucky · 2 listed addresses
- 2319 Lime Kiln Lane, Suite A, LouisvilleHQ
- 136 Breckinridge Lane, Louisville
Other business names
Garton and Associates Financial Advisors has reported 2 other business names to the SEC.
- Advantage Investment Manangement
- Aim
Contact and registration details
- Legal name
- Garton and Associates Financial Advisors LLC
- Headquarters
- 2319 Lime Kiln Lane, Suite A, Louisville, KY 40222
- Website
- aim-rps.com
- Phone
- 502-212-3000
- @11051983
- SEC file
- 801-125798
- Structure
- Kentucky LLC
- Fiscal year end
- December
Garton and Associates Financial Advisors’ named custodians for separately managed accounts are Charles Schwab ($159M, 90%) and Nationwide Investment Services ($18.3M, 10%). Garton and Associates Financial Advisors does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $159M90%
- Nationwide Investment ServicesNationwide Investment Services Corporation · Columbus, OH · $18.3M10%
At year end, Garton and Associates Financial Advisors’ separately managed accounts were mostly in stocks (92%). Its reported 13F holdings for the quarter ended 30 June 2026 total $44.2M across 24 positions; the largest are Apple Inc. (12.5%), Broadcom Inc. (12.4%) and Invesco Nasdaq 100 ETF (8.6%).
What the accounts hold
- Stocks92%
- Bonds5%
- U.S. government and agency bonds4%
- State and local bonds1%
- Cash3%
How many clients does Garton and Associates Financial Advisors have?
Garton and Associates Financial Advisors has 369 clients and manages $215 million for them, as of August 2026. They include 310 individual clients, 43 high-net-worth individuals, and 8 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 12 August 2026
What services does Garton and Associates Financial Advisors offer?
Garton and Associates Financial Advisors provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, and pension consulting.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Garton and Associates Financial Advisors charge?
Garton and Associates Financial Advisors charges up to 1.25% a year for its Investment Management. The fee is billed in arrears and is negotiable.
Source: 2A BROCHURE, filed 25 March 2026
Which custodians does Garton and Associates Financial Advisors use?
Garton and Associates Financial Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $159M and Nationwide Investment Services Corporation (Columbus, OH), with $18.3M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 12 August 2026
How many financial advisors does Garton and Associates Financial Advisors have?
Garton and Associates Financial Advisors has 5 investment adviser representatives registered with state securities authorities, out of 10 employees, and 5 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 3 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
What does Garton and Associates Financial Advisors invest in?
At the end of its last fiscal year, Garton and Associates Financial Advisors’ separately managed accounts held 92% exchange-traded equities, 4% U.S. government and agency bonds, 3% cash and equivalents 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
Who owns Garton and Associates Financial Advisors?
Garton and Associates Financial Advisors’ direct owners are Donald Garton (75% or more) and Kathleen Mounce (5% to 10%).
Source: Form ADV Part 1A, Schedules A and B, filed 12 August 2026
How does Garton and Associates Financial Advisors get paid?
Garton and Associates Financial Advisors is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or 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
How do I contact Garton and Associates Financial Advisors?
Garton and Associates Financial Advisors’ main office is at 2319 Lime Kiln Lane, Suite A, Louisville, KY 40222. Its phone number is 502-212-3000. Its website is aim-rps.com.
