← Tributary

FWG INVESTMENTS, LLC

LEXINGTON, KY · CRD 284064 · IAPD ↗ · thefamilywealthgroup.com · 859-309-0349

$349.0MRegulatory AUM
10Advisory reps
27Employees
211Clients
More than 500Planning clients
0Private funds
12States
4Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
June 2026 — FWG INVESTMENTS, LLC notice-filed in MS.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
65
April 2026 — FWG INVESTMENTS, LLC reported RAUM up 40% ($250.1M -> $349.0M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
68
April 2026 — FWG INVESTMENTS, LLC now reports custody of client assets ($6.2M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
45
December 2025 — FWG INVESTMENTS, LLC notice-filed in LA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
70
April 2025 — FWG INVESTMENTS, LLC grew from 8 to 10 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
45
April 2024 — FWG INVESTMENTS, LLC reported RAUM down 39% ($339.6M -> $205.9M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
50
April 2024 — FWG INVESTMENTS, LLC added office(s): 4 -> 5 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
45
March 2024 — FWG INVESTMENTS, LLC notice-filed in HI.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.