← Tributary

JOULE FINANCIAL, LLC

LEXINGTON, KY · CRD 320791 · IAPD ↗ · joulefinancial.com · 859-881-0777

$478.6MRegulatory AUM
6Advisory reps
8Employees
0Clients
251-500Planning clients
0Private funds
12States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

63
August 2026 — JOULE FINANCIAL, LLC (LEXINGTON, KY) left the SEC roster (was $478.6M RAUM, 6 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
61
April 2025 — JOULE FINANCIAL, LLC reports 251-500 financial-planning clients, up from 101-250.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
49
April 2024 — JOULE FINANCIAL, LLC notice-filed in GA, LA, NH.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
April 2024 — JOULE FINANCIAL, LLC added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions

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