Rik Saylor Financial, Inc.
- Regulatory AUM
- $199M
- Discretionary
- $199M
- Clients
- 377
- Avg AUM / client
- $528K
- Accounts
- 1,047
- Employees
- 5
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 25, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 280 | $72.5M | 36.4% |
| High net worth individuals | 96 | $122M | 61.5% |
| Corporations and other businesses | 1 | $4.2M | 2.13% |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Rik James Henrik Saylor | Chief Compliance Officer, Chief Executive Officer | Sep 1998 (28y) | 75% or more | |
| Eric Thomas Hamberg | Vice President | CFP | Feb 2013 (13y) | 10% – 25% |
| Nathanial Lee Parker | Registered representative | May 2023 (3y) |
Undisclosed: 0% – 15% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/25/2026 | 1.07 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: TRANSACTED BUSINESS IN THE STATE OF KENTUCKY, AS AN INVESTMENT ADVISOR AND THE FIRM EMPLOYED AN INVESTMENT ADVISOR REPRESENTATIVE WITHOUT PROPER REGISTRATION FOR MORE THAN 5 KENTUCKY CLIENTS. Status: Final Sanction Detail: MONETARY FINE - $1000 Summary: THE FIRM APPLIED FOR STATE REGISTRATION AS AN INVESTMENT ADVISOR UPON IMMEDIATE NOTIFICATION OF 5 CLIENTS.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
Custody
Reported custodians
- Fidelity Brokerage Services $182M (91% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 25, 2026.
View current Form ADV (SEC/IAPD) ↗