Ryan T. Osborne

ASIO CAPITAL LLC

Lexington, KY 40503

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CRD#: 4341004

Professional summary

Ryan Tracy Osborne, CPWA®, who also goes by Tracy Osborne, is a registered financial advisor currently at ASIO CAPITAL LLC located in Lexington, Kentucky.

Ryan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Ryan has worked at 3 firms and has passed the Series 65, Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tracy Osborne

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Forcht Bank; No; Lexington, KY; Advisory Board Member; 02/23/2022; Approximately 1 hour per month; 1 hour per month during trading hours; Primary responsibility is providing non-investment related strategic input for the firm during meetings.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ryan Tracy Osborne's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CPWA^®

Certified Private Wealth Advisor

Experience

Current

October 1, 2018 - Present

ASIO CAPITAL LLC

Office #1: 220 Lexington Green Circle Suite 420, Lexington, KY 40503

RIA

CRD#: 298326

Lexington, KY

Past

September 4, 2007 - September 22, 2010

LPL FINANCIAL LLC

RIA

CRD#: 6413

LEXINGTON, KY

Past

September 4, 2007 - September 22, 2010

LPL FINANCIAL LLC

CRD#: 6413

LEXINGTON, KY

Past

February 17, 2004 - September 5, 2007

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

LEXINGTON, KY

Past

February 17, 2004 - September 5, 2007

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

LEXINGTON, KY

Past

March 23, 2001 - December 19, 2003

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

DANVILLE, KY

Past

February 7, 2001 - December 19, 2003

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ASIO CAPITAL LLC

ASIO CAPITAL LLC | PIN OAK CAPITAL LLC

CRD#: 298326 / SEC#: 801-113910

RIA

Registered Investment Advisory firm - (8/28/2018 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(4/30/2021)

IAR

Kentucky
(10/1/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/1/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 2/15/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 2/6/2001

General Securities Representative Examination

Current Firm

ASIO CAPITAL LLC

ASIO CAPITAL LLC | PIN OAK CAPITAL LLC

CRD#: 298326 / SEC#: 801-113910

RIA

Registered Investment Advisory firm - (8/28/2018 Approved)

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Contact information

Main Address

220 Lexington Green Circle Suite 420, Lexington, KY 40503

Mailing Address

Phone number

(859) 785-4130

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ASIO - FORM ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	642
AUM (Assets Under Management)	$ 621,535,641

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Ryan T. Osborne

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ryan Tracy Osborne's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

Primary Firm SEC Registration

ASIO CAPITAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/1/2018

Series 66

Date: 2/15/2001

Series 7

Date: 2/6/2001

Current Firm

ASIO CAPITAL LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ASIO CAPITAL LLC

TRUST BUT VERIFY

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