Investment adviser · CRD 453
J.J.B. HILLIARD, W.L. LYONS, LLC
Investment adviser filing (IA)
LOUISVILLE, KY, United States · Form ADV filed Apr 12, 2019
- Regulatory AUM
- $9.28B Form ADV · Item 5.F
- Client accounts
- 31,198 Accounts, not individual clients
- Employees
- 1,025 Reported in this filing
- Advisory professionals
- 384 Investment advisory functions
Who they report serving
Form ADV · Item 5.DClient types and their share of reported regulatory assets.
| Client type | Clients | Regulatory assets | Share of AUM |
|---|---|---|---|
| Individuals | 29,063 | $6,566,380,873 | 70.8% |
| High-net-worth individuals | 1,561 | $2,218,893,772 | 23.9% |
| Charities | 139 | $227,566,842 | 2.5% |
| Retirement plans | 184 | $141,779,002 | 1.5% |
| Corporations & businesses | 65 | $72,954,371 | 0.8% |
| Investment companies | 1 | $50,913,657 | 0.5% |
| Banks & thrifts | Fewer than 5 | $0 | 0.0% |
| Government entities | Fewer than 5 | Not reported | Not reported |
| Other investment advisers | Fewer than 5 | Not reported | Not reported |
| Insurance companies | Fewer than 5 | Not reported | Not reported |
| Sovereign wealth & foreign institutions | Fewer than 5 | Not reported | Not reported |
Filing source
Form ADV 1309835 · Apr 12, 2019 · Item 5.D
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.
Private funds & service providers
0 Private fundsThe count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.
This filing answers No to private funds.
Services & filing details
Most recent filing: Apr 12, 2019. View historical filings
Reported services
Financial planning · Individual portfolio management · Investment company portfolio management · Business portfolio management · Selection of other advisers · Educational seminars
Compensation
Percentage of assets · Fixed
Principal office
500 WEST JEFFERSON STREETLOUISVILLE, KY, 40202, United States
CRD 453
Filing source
Form ADV 1309835 · Apr 12, 2019 · Items 1 & 5
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.