TAPKE ASSET MANAGEMENT, LLC
CRD #109145 SEC #801-56333 FT. WRIGHT, KY 859-344-4000
SEC Registered
Total AUM
$456.1M
Discretionary
$410.8M
Employees
5
Clients
10
Accounts
260
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 6, 2007
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| DUSING, JULIE, TAPKE | I | DIRECTOR OF FINANCIAL PLANNING | NA | Control |
| DUSING, JULIE, TAPKE | I | DIRECTOR OF FINANCIAL PLANNING | NA | Control |
| DUSING, JULIE, TAPKE | I | DIRECTOR OF FINANCIAL PLANNING | NA | Control |
| JARVIS, ARTHUR, ROYCE | I | SENIOR INVESTMENT OFFICER - CHIEF COMPLIANCE OFFICER | NA | Control |
| JARVIS, ARTHUR, ROYCE | I | SENIOR INVESTMENT OFFICER - COMPLIANCE OFFICER | NA | Control |
| JARVIS, ARTHUR, ROYCE | I | SENIOR INVESTMENT OFFICER - COMPLIANCE OFFICER | NA | Control |
| LAMPE, THOMAS, RICHARD | I | DIRECTOR OF DEVELOPMENT | NA | |
| LAMPE, THOMAS, RICHARD | I | DIRECTOR OF DEVELOPMENT | NA | |
| LAMPE, THOMAS, RICHARD | I | DIRECTOR OF DEVELOPMENT | NA | |
| SHEPARD, ALFRED, HOLMES | I | PORTFOLIO MANAGER | NA | Control |
| SHEPARD, ALFRED, HOLMES | I | PORTFOLIO MANAGER | NA | Control |
| STRUNK, MICHAEL, JOSEPH | I | REGISTERED REPRESENTATIVE | NA | |
| STRUNK, MICHAEL, JOSEPH | I | REGISTERED REPRESENTATIVE | NA | |
| TAPKE, JULIE, MARIE | I | FINANCIAL PLANNING OFFICER - SECRETARY | NA | Control |
| TAPKE, RICHARD, HERMAN | I | PORTFOLIO MANAGER/CHIEF COMPLIANCE OFFICER | NA | Control |
| TAPKE, RICHARD, HERMAN | I | INVESTMENT OFFICER CHIEF COMPLIANCE OFFICER | NA | Control |
| TAPKE, RICHARD, HERMAN | I | PORTFOLIO MANAGER/CHIEF COMPLIANCE OFFICER | NA | Control |
| TAPKE, RICHARD, HERMAN | I | PORTFOLIO MANAGER/CHIEF COMPLIANCE OFFICER | NA | Control |
| TAPKE, RICHARD, HERMAN | I | PRESIDENT - TREASURER | E | Control |
| TAPKE, RICHARD, HERMAN | I | PRESIDENT - TREASURER | E | Control |
| TAPKE, RICHARD, HERMAN | I | PRESIDENT - TREASURER | E | Control |
| TAPKE, RICHARD, HERMAN | I | PRESIDENT - TREASURER | E | Control |
| TAPKE, RICHARD, HERMAN | I | PRESIDENT - TREASURER | E | Control |
| TAPKE, RICHARD, HERMAN | I | PRESIDENT - TREASURER | E | Control |
| HARTMAN, ROBERT, F | I | *RETIREMENT EFFECTIVE APRIL, 2001 | C | Control |
| TAPKE, RICHARD, HERMAN | I | PRESIDENT - TREASURER | C | Control |
| ELM STREET ASSOCIATES | DE | PARTIAL OWNER | B |
Registrations
Federal
IA
Mar 6, 2007 REGISTERED
Notice Filings (3)
FL KY OH
Address
909 WRIGHT'S SUMMIT PARKWAYSUITE 300
FT. WRIGHT, KY 41011
USA
Phone: 859-344-4000