RICKETTS FINANCIAL, LLC
CRD #309381 SEC #801-118963 LOUISVILLE, KY (502) 396-4055
SEC Registered
Total AUM
$290.5M
Discretionary
$290.5M
Employees
4
Clients
1
Accounts
289
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Sep 22, 2025
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BERNSTEIN, DANIEL, ADAM | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CNSL MANAGEMENT ENTERPRISES, LLC | DE | MANAGING MEMBER | E | Control |
| RICKETTS, PATRICK, HAMPTON | I | MANAGER | C | Control |
| RICKETTS, PATRICK, HAMPTON | I | MANAGER | C | Control |
| RICKETTS, PATRICK, HAMPTON | I | MANAGER | C | Control |
| RICKETTS, PATRICK, HAMPTON | I | MANAGER | C | Control |
| RICKETTS, PATRICK, HAMPTON | I | CHIEF COMPLIANCE OFFICER & PRINCIPAL | C | Control |
| RICKETTS, PATRICK, HAMPTON | I | MANAGER | C | Control |
| RICKETTS, PATRICK, HAMPTON | I | CHIEF COMPLIANCE OFFICER & PRINCIPAL | C | Control |
| RICKETTS, PATRICK, HAMPTON | I | CHIEF COMPLIANCE OFFICER & PRINCIPAL | C | Control |
| RICKETTS, PATRICK, HAMPTON | I | CHIEF COMPLIANCE OFFICER & PRINCIPAL | C | Control |
| RICKETTS, PATRICK, HAMPTON | I | CHIEF COMPLIANCE OFFICER & PRINCIPAL | C | Control |
| RICKETTS, PATRICK, HAMPTON | I | CHIEF COMPLIANCE OFFICER & PRINCIPAL | C | Control |
| RICKETTS, PATRICK, HAMPTON | I | CHIEF COMPLIANCE OFFICER & PRINCIPAL | C | Control |
| RICKETTS, ROY, MICHAEL | I | CHIEF COMPLIANCE OFFICER AND MANAGER | C | Control |
| RICKETTS, ROY, MICHAEL | I | CHIEF COMPLIANCE OFFICER AND MANAGER | C | Control |
| RICKETTS, ROY, MICHAEL | I | CHIEF COMPLIANCE OFFICER AND MANAGER | C | Control |
| RICKETTS, ROY, MICHAEL | I | CHIEF COMPLIANCE OFFICER AND MANAGER | C | Control |
| RICKETTS, ROY, MICHAEL | I | PRINCIPAL | C | Control |
| RICKETTS, ROY, MICHAEL | I | CHIEF COMPLIANCE OFFICER AND MANAGER | C | Control |
| RICKETTS, ROY, MICHAEL | I | PRINCIPAL | C | Control |
| RICKETTS, ROY, MICHAEL | I | PRINCIPAL | C | Control |
| RICKETTS, ROY, MICHAEL | I | PRINCIPAL | C | Control |
| RICKETTS, ROY, MICHAEL | I | PRINCIPAL | C | Control |
| RICKETTS, ROY, MICHAEL | I | PRINCIPAL | C | Control |
| Ricketts, Cary, Rasnick | I | PRINCIPAL | C | Control |
| Ricketts, Christopher, McCauley | I | MANAGER | C | Control |
| Ricketts, Christopher, McCauley | I | MANAGER | C | Control |
| Ricketts, Christopher, McCauley | I | MANAGER | C | Control |
| Ricketts, Christopher, McCauley | I | MANAGER | C | Control |
| Ricketts, Christopher, McCauley | I | PRINCIPAL | C | Control |
| Ricketts, Christopher, McCauley | I | MANAGER | C | Control |
| Ricketts, Christopher, McCauley | I | PRINCIPAL | C | Control |
| Ricketts, Christopher, McCauley | I | PRINCIPAL | C | Control |
| Ricketts, Christopher, McCauley | I | PRINCIPAL | C | Control |
| Ricketts, Christopher, McCauley | I | PRINCIPAL | C | Control |
| Ricketts, Christopher, McCauley | I | PRINCIPAL | C | Control |
| Ricketts, Christopher, McCauley | I | PRINCIPAL | C | Control |
Registrations
Federal
IA
Sep 22, 2025 REGISTERED
Notice Filings (4)
FL KY TN TX
Address
4360 BROWNSBORO ROADSUITE 115
LOUISVILLE, KY 40207
United States
Phone: (502) 396-4055