Hilliard Lyons Capital Management, LLC (Louisville)

Hilliard Lyons Capital Management, LLC is a large advisory firm based in Louisville. It manages $224.88 million of regulatory assets for 161 client accounts. It has been registered with the SEC as an adviser since 2008 and has operated in the jurisdictions of Kentucky, Ohio, and Pennsylvania.

Hilliard Lyons Capital Management provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and market timing services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Hilliard Lyons Capital Management: assets under management

The assets under management (AUM) of Hilliard Lyons Capital Management, LLC is $224.88 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -9% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $224.88 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.4 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Hilliard Lyons Capital Management, LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Hilliard Lyons Capital Management, LLC

James Reid Allen has been acting as President since 1 May 2007. Carmella Rasi Miller joined the executive team most recently as the Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
James Reid Allen	Director	1 May 2007	Other	1014622
Elizabeth C Kaplan	Chief compliance officer	1 May 2007	Other	4619011
William John Stewart	Director, president	1 May 2007	Other	1557265
John Randall Bugh	Director	1 May 2007	Other	1041111
Sara Clark Cunningham	Treasurer	1 May 2007	Other	3047826
Charles Morrison Grimley	Assistant treasurer	1 May 2007	Other	1121284
Jeffrey Stephen Holik	Chief legal officer, secretary	1 May 2007	Other	5202757
Julie Helen Bartos	Assistant secretary	1 May 2007	Other	4772925
Corp. Pnc Hl Holding	Parent	1 May 2007	75% - 100%	24-1435979
Llc Hl Financial Services	Parent	1 Mar 2008	75% - 100%	30-0450751
Carmella Rasi Miller	Director	1 Jul 2010	Other	1879379
James Michael Rogers	Director	1 Jul 2010	Other	870075

Indirect Owners

The SEC currently registers 6 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Employee Stock Ownership Trust Houchens Industries	Parent	1 Nov 1988	75% - 100%	61-6036577
James Payton Gipson	Trustee	1 Nov 1988	Other	5628254
William Ruel Houchens	Trustee	1 Nov 1988	Other	5633415
Inc. The Pnc Financial Services Group	Parent	1 Dec 1998	75% - 100%	51-0404585
Noel Nelson Hunt	Trustee	1 Jan 2003	Other	5633430
Inc. Houchens Industries	Parent	1 Mar 2008	50% - 75%	20-2505350

Based in Louisville

The principal office where Hilliard Lyons Capital Management, LLC performs its advisory services is located at 500 West Jefferson Street, Louisville, KY 40202, which is also the mailing address of the firm. An additional office of the firm is in Cincinnati, OH. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 877-871-2369 or by fax 502-588-1888. The normal business hours are 8:00 am - 5:00 pm on Monday - Friday.