{"url":"https://nivawealth.com/firms/garton-and-associates-financial-advisors-146493","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/146493","regulatoryAum":215376210,"crd":"146493","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7270084","suffix":null,"lastName":"COLE","firstName":"MICHAEL","middleName":"ALEXANDER"},{"crd":"3087793","suffix":"IV","lastName":"FOWLER","firstName":"WILLIAM","middleName":"THOMAS"},{"crd":"2125313","suffix":null,"lastName":"GARTON","firstName":"DONALD","middleName":"LEE"},{"crd":"7149886","suffix":null,"lastName":"Garton","firstName":"Michael","middleName":"Joseph"},{"crd":"1823107","suffix":null,"lastName":"HEFFLEY","firstName":"LISA","middleName":"CAROL"}],"total":5,"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":"2022-05-04","regulatoryAum":149526603,"clients":459,"employees":8,"offices":2},{"filedOn":"2023-04-03","regulatoryAum":137292287,"clients":448,"employees":8,"offices":2},{"filedOn":"2024-03-29","regulatoryAum":159751600,"clients":372,"employees":8,"offices":2},{"filedOn":"2025-03-21","regulatoryAum":184871474,"clients":386,"employees":8,"offices":2},{"filedOn":"2026-08-12","regulatoryAum":215376210,"clients":369,"employees":10,"offices":2}],"secFileNumber":"801-125798","legalName":"Garton and Associates Financial Advisors LLC","displayName":"Garton and Associates Financial Advisors","slug":"garton-and-associates-financial-advisors-146493","website":"https://aim-rps.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/11051983/","founded":null,"organization":"Kentucky limited liability company","fiscalYearEnd":"December","headquarters":{"street":"2319 Lime Kiln Lane, Suite A","city":"Louisville","state":"KY","stateName":"Kentucky","country":"United States","postalCode":"40222"},"tradeNames":["Advantage Investment Manangement","Aim"],"registration":{"secApproved":"2 May 2022","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":519092.940509915,"staff":{"employees":10,"advisory":5,"brokerDealerReps":0,"insuranceAgents":3,"promoters":0},"aum":{"regulatory":215376210,"discretionary":167858398,"discretionaryAccounts":323,"nonDiscretionary":47517812,"nonDiscretionaryAccounts":46,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":310,"regulatoryAum":72677261},{"label":"High-net-worth individuals","clients":43,"regulatoryAum":110562547},{"label":"Pension and profit-sharing plans","clients":8,"regulatoryAum":24988263},{"label":"Charitable organizations","clients":4,"fewerThan5":true,"regulatoryAum":7116392},{"label":"Corporations and other businesses","clients":4,"regulatoryAum":31747}],"feePrograms":[{"role":"main","program":"Investment Management","feeBasis":"ceiling","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1026447","versionId":1026447,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-03-25","documentName":"2A BROCHURE","fee_rate_low":null,"fee_rate_high":1.25,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Consulting Services","summary":"Hourly consulting, generally $250 per hour, billed as mutually agreed; negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1026447","versionId":1026447,"submittedOn":"2026-03-25","documentName":"2A BROCHURE"},{"role":"other","program":"Financial Planning","summary":"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.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1026447","versionId":1026447,"submittedOn":"2026-03-25","documentName":"2A BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T13:42:59.113137+00:00","documents":[{"name":"2A BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1026447","versionId":1026447,"submittedOn":"2026-03-25"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":158613088},{"name":"Nationwide Investment Services Corporation","shortName":"Nationwide Investment Services","location":"Columbus, OH","smaAssets":18271727}],"custodyNote":"Garton and Associates Financial Advisors does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Donald Garton","title":"Managing Partner, Chief Compliance Officer","crd":"2125313"},{"name":"Michael Garton","title":"Part Owner","crd":"7149886"},{"name":"Kathleen Mounce","title":"Partner","crd":"5489125"}],"ownership":[{"label":"Donald Garton","detail":"Managing partner, chief compliance officer in the 75% or more ownership band and a control person, since December 2004."},{"label":"Kathleen Mounce","detail":"Partner in the 5% to 10% ownership band, since November 2005."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Kentucky","offices":2,"addresses":[{"street":"2319 Lime Kiln Lane, Suite A","city":"Louisville","headquarters":true},{"street":"136 Breckinridge Lane","city":"Louisville"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"502-212-3000","stateRegisteredReps":5,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for pooled investment vehicles (other than investment companies)","Pension consulting services"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":92},{"label":"U.S. government/agency bonds","percent":4},{"label":"U.S. state and local bonds","percent":1},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":0},"sources":{"adv1FilingDate":"12 August 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/146493/PDF/146493.pdf","brochureDate":"25 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1026447","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 Garton and Associates Financial Advisors have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Garton and Associates Financial Advisors offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Garton and Associates Financial Advisors charge?","answer":"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","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Garton and Associates Financial Advisors use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Garton and Associates Financial Advisors have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Garton and Associates Financial Advisors invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Garton and Associates Financial Advisors?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Garton and Associates Financial Advisors get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Garton and Associates Financial Advisors?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 12 August 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":{"url":"https://nivawealth.com/firms/garton-and-associates-financial-advisors-146493/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-08-11","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/2109857/000210985726000003/0002109857-26-000003-index.html","totalValue":44216414,"positionCount":24,"top10Share":0.7049904589729958,"top10":[{"issuer":"APPLE INC","titleOfClass":"AAPL","cusip":"037833100","value":5515895,"shares":19062,"shareType":"SH","priorValue":5088008,"priorShares":20048},{"issuer":"BROADCOM INC","titleOfClass":"AVGO","cusip":"11135F101","value":5490487,"shares":14535,"shareType":"SH","priorValue":4453304,"priorShares":14388},{"issuer":"INVESCO NASDAQ 100 ETF","titleOfClass":"QQQM","cusip":"46138G649","value":3787742,"shares":12502,"shareType":"SH","priorValue":2459842,"priorShares":10352},{"issuer":"AMAZON.COM INC","titleOfClass":"AMZN","cusip":"023135106","value":3724539,"shares":15627,"shareType":"SH","priorValue":4248292,"priorShares":20398},{"issuer":"ABBVIE INC","titleOfClass":"ABBV","cusip":"00287Y109","value":2576392,"shares":10238,"shareType":"SH","priorValue":658559,"priorShares":3028},{"issuer":"AMCOR PLC              F","titleOfClass":"AMCR","cusip":"G0250X149","value":2124372,"shares":49005,"shareType":"SH","priorValue":1221518,"priorShares":30730},{"issuer":"DUKE ENERGY CORP NEW","titleOfClass":"DUK","cusip":"26441C204","value":2121157,"shares":16757,"shareType":"SH","priorValue":2097659,"priorShares":16020},{"issuer":"T. 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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."}