# RICKETTS FINANCIAL, LLC

RICKETTS FINANCIAL, LLC of LOUISVILLE, KY is an SEC-registered investment adviser.

## Registration

- CRD: 309381
- Type: SEC-registered investment adviser
- SEC file number: 801-118963
- Location: 4360 BROWNSBORO ROAD, SUITE 115, LOUISVILLE, KY, 40207
- Phone: (502) 396-4055
- Latest filing: 2026-03-26
- Regulatory AUM: $314.0M
- Discretionary AUM: $309.3M
- Non-discretionary AUM: $4.7M
- Clients: 3
- Accounts: 288

## Business model

- Compensation: % of AUM, Fixed
- Clients served: Individuals, High net worth, Pooled vehicles, Charities

## Officers, owners & control persons (8)

| Name | Role | Location |
| --- | --- | --- |
| Patrick Hampton Ricketts | CHIEF COMPLIANCE OFFICER & PRINCIPAL | — |
| Christopher Mccauley Ricketts | PRINCIPAL | — |
| Cary Rasnick Ricketts | PRINCIPAL | — |
| Roy Michael Ricketts | PRINCIPAL | — |
| RICKETTS MICHAEL | CHIEF COMPLIANCE OFFICER AND MANAGER; PRINCIPAL | — |
| BERNSTEIN DANIEL ADAM | CHIEF COMPLIANCE OFFICER | — |
| RICKETTS PATRICK HAMPTON | CHIEF COMPLIANCE OFFICER & PRINCIPAL; MANAGER | — |
| Ricketts Christopher McCauley | MANAGER; PRINCIPAL | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/309381/brochure
- Similar advisers: https://search.stillhousedata.com/firm/309381/similar
- Related entities: https://search.stillhousedata.com/firm/309381/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/309381

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.