Context Financial LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
The firm serves individual and high‑net‑worth clients, offering ongoing portfolio management and comprehensive financial planning. Its advice generally focuses on mutual funds, ETFs, annuities and other insurance‑related products, and it charges asset‑based fees as is common for small independent advisers.
Portfolio decisions are documented in individualized Investment Policy Statements and guided by modern portfolio theory and a long‑term trading approach, with regular monitoring tied to each client’s risk tolerance and goals. Uncommonly for peer firms, the majority of the firm’s reported assets are managed on a non‑discretionary basis, so trades are typically executed with client approval rather than under full discretionary authority.
A firm principal is also a licensed insurance agent and may recommend commissionable insurance and annuity products alongside advisory services, a relationship the brochure discloses as a potential conflict of interest. The firm also directs clients to third‑party advisers and requires custody through institutional platforms (e.g., Charles Schwab Institutional or Betterment Securities), and it receives fee‑sharing and other third‑party services that can influence adviser and platform selection.
Client services
Expertise
Fee options
Between $500 and $4,000 for one-time financial plans.
$0 - $2,000,000: 1.25% $2,000,001+: 0.70%
Between $150 and $250 per hour for discrete financial planning engagements.
Ongoing financial planning services fees between $3,000 and $6,000 per year or $150 to $200 per month.
Main office
120 Kentucky Ave., Suite 120
Lexington KY 40502
Advisors at this office
1
Most active in
Kentucky
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Quick links
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