Context Financial LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$20,810,000
Total clients
67
3% high-net worth
Total advisors
1
of 2 employees
Firm size
Supported
1-3 advisors or $200M+ in AUM
Average clients per advisor
67
Average account size
$310,597
About
Context Financial LLC provides portfolio management and financial planning services to individual clients, preparing individualized Investment Policy Statements and advising primarily in mutual funds, ETFs and insurance products such as annuities. The firm serves a relatively small client base and does not impose an account minimum for its services.
Its investment approach combines fundamental analysis and modern portfolio theory with a long‑term trading orientation, and client recommendations are guided by documented goals, time horizon, and risk tolerance. Notably, the firm reports all assets as non‑discretionary—clients retain final trading authority—while advisory fees are assessed on an asset‑based basis.
A distinctive feature is that a principal is an independent, licensed insurance agent and may offer commissionable insurance products to advisory clients, a relationship the brochure discloses as a potential conflict of interest. The firm also discloses arrangements to direct clients to third‑party advisers and custodians (including Charles Schwab Institutional and Betterment Securities) and notes possible fee‑sharing and soft‑dollar benefits associated with those relationships.
Client services
Financial planning
Portfolio management
Selection of other advisers
Expertise
Annuities
Fee options
Between $500 and $4,000 for a one-time financial plan
$0 - $2,000,000: 1.25% $2,000,001+: 0.70%
Between $150 and $250 per hour for discrete financial planning engagement
Monthly fee between $150 and $200 for ongoing financial planning services
Main office location
Context Financial LLC
120 Kentucky Ave., Suite 120
Lexington KY 40502, United States
Number of offices
1
Most active in
Context Financial LLC has reported serving >5 clients in these states in the last 12 months.
Kentucky
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
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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