Carl W. Hafele

PRIVATE CLIENT SERVICES

Louisville, KY 40222

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CRD#: 4346459

Professional summary

Carl Wilfred Hafele is a registered financial advisor currently at PRIVATE CLIENT SERVICES, LLC located in Louisville, Kentucky.

Carl is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Carl has worked at 2 firms .

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1) Bellarmine University. 2001 Newburg Road, Louisville, KY 40205. Instructor. 3 hrs/mo; 0 during trading hrs. 2) Beneke Wire Company. 5540 National Turnpike, Louisville, KY 40214. Aluminum Wire. Board member. 4 hrs/mo; 2 during trading hrs. 3) Hafele One. 6106 Springhouse Farm Lane, Louisville, KY 40222. LLC owned by 4 children at 24.50 % each, Carl Hafele (father) .5%, Tricia Hafele (children's' mother) .5%. Parents are managing member since 2001 creation. 1 hr/mo; 0 during trading hrs. 4) Hafele Six LLC. 6106 Springhouse Farm Lane, Louisville, KY 40222. LLC for development with NW1 LLC. Investor. 1 hr/mo; 0 during trading hrs. 5) Hafele Three LLC. 6106 Springhouse Farm Lane, Louisville, KY 40222. Investment LLC owned by the Hafele's. Managing member. 1 hr/mo; 0 during trading hrs. 6) Hafele Two LLC. 6106 Springhouse Farm Lane, Louisville, KY 40222. Investment LLC of which both Carl and Hafele one (children) are 50% owners. Managing member. 1 hr/mo; 0 during trading hrs. 7) Sourcing Insights. 5225 Exploration Drive, Indianapolis, IN 46241, Software company. Board member and Investor. 1 hr/mo; 0 during trading hrs. 8) Hafele Five LLC. 6106 Springhouse Farm Lane. Investment LLC. Managing properties. Provide any activity to accountant for tax return. .1 hr/mo; 0 during trading hrs. 9) Hafele Investments, Inc., investment-related, 500 North Hurstbourne Parkway, Suite 425, Louisville, KY, 40222, investment advisory business, CEO, start date Jan. 2022, 250 hours per month, 150 during business hours. 10) Hafele Funds Management LLC, investment-related, 500 North Hurstbourne Parkway, Suite 425, Louisville, KY, 40222, LLC for our Senior Living Fund Series, position: managing member overseeing the offerings, start date Aug. 2022, 10 hours per month, 10 during business hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl Wilfred Hafele'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®

None

Experience

Current

May 2, 2022 - Present

PRIVATE CLIENT SERVICES, LLC

Office #1: 500 N Hurstbourne Pkwy Suite 150, Louisville, KY 40222

RIA

CRD#: 120222

Louisville, KY

Past

July 17, 2014 - May 6, 2022

LANIER ASSET MANAGEMENT, LLC

RIA

CRD#: 150888

LOUISVILLE, KY

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".

PRIVATE CLIENT SERVICES, LLC

CRD#: 120222 / SEC#: 801-71475, 8-68183

RIA

Registered Investment Advisory firm - SEC (5/25/2010 Approved)

Delaware

Registered Investment Advisory firm - SEC (12/31/2010 Terminated)

Florida

Registered Investment Advisory firm - SEC (12/31/2010 Terminated)

Georgia

Registered Investment Advisory firm - SEC (12/31/2010 Terminated)

Indiana

Registered Investment Advisory firm - SEC (6/1/2010 Terminated)

Kentucky

Registered Investment Advisory firm - SEC (6/4/2010 Terminated)

Mississippi

Registered Investment Advisory firm - SEC (12/31/2010 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (6/1/2010 Terminated)

New York

Registered Investment Advisory firm - SEC (6/1/2010 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (6/1/2010 Terminated)

North Dakota

Registered Investment Advisory firm - SEC (7/5/2018 Approved)

Ohio

Registered Investment Advisory firm - SEC (6/1/2010 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (6/1/2010 Terminated)

Texas

Registered Investment Advisory firm - SEC (12/9/2011 Terminated)

Virginia

Registered Investment Advisory firm - SEC (12/31/2010 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (12/31/2010 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(2/21/2024)

IAR

Kentucky
(5/2/2022)

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

Current Firm

PRIVATE CLIENT SERVICES, LLC

CRD#: 120222 / SEC#: 801-71475, 8-68183

RIA

Registered Investment Advisory firm - SEC (5/25/2010 Approved)

Delaware

Registered Investment Advisory firm - SEC (12/31/2010 Terminated)

Florida

Registered Investment Advisory firm - SEC (12/31/2010 Terminated)

Georgia

Registered Investment Advisory firm - SEC (12/31/2010 Terminated)

Indiana

Registered Investment Advisory firm - SEC (6/1/2010 Terminated)

Kentucky

Registered Investment Advisory firm - SEC (6/4/2010 Terminated)

Mississippi

Registered Investment Advisory firm - SEC (12/31/2010 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (6/1/2010 Terminated)

New York

Registered Investment Advisory firm - SEC (6/1/2010 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (6/1/2010 Terminated)

North Dakota

Registered Investment Advisory firm - SEC (7/5/2018 Approved)

Ohio

Registered Investment Advisory firm - SEC (6/1/2010 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (6/1/2010 Terminated)

Texas

Registered Investment Advisory firm - SEC (12/9/2011 Terminated)

Virginia

Registered Investment Advisory firm - SEC (12/31/2010 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (12/31/2010 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

2225 Lexington Rd., Louisville, KY 40206

Mailing Address

2225 Lexington Rd., Louisville, KY 40206

Phone number

(502) 451-0600

Established

Kentucky since 02/05/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

SEC notice filing (51 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

BROCHURE SUPPLEMENT FORM ADV2B STEVEN MILLS (3/21/2025)

FIRM BROCHURE 03/21/2025 (3/21/2025)

FIRM WRAP FEE BROCHURE 03/21/2025 (3/21/2025)

BROCHURE SUPPLEMENT FORM ADV 2B - EDWARD MARION (3/21/2025)

Direct owners and executive officers

Name	Position	CRD#
KFG ENTERPRISES, INC.	SHAREHOLDER
PRIVATE CLIENT SERVICES EMP STOCK OWNERSHIP PLAN & TRUST	ESOP TRUST
GRAHAM, TIMOTHY DALEY	PRESIDENT	4461811
IRONSIDE, JULIA MEYER	FINOP	2441578
MILLS, STEVEN RICHARD	CHIEF OPERATIONS OFFICER	3133520
SAMPSON, ERNEST AUBREY	MANAGING MEMBER, ESOP TRUSTEE	2001651
TAYLOR-JONES, JOHN PHILIP	CHIEF COMPLIANCE OFFICER	2171620
WESCOTT, MARY ELIZABETH	CHIEF ADMINISTRATION OFFICER	4404797

Regulatory assets under management

Total Number of Accounts	3,271
AUM (Assets Under Management)	$ 1,051,273,980

Disclosures

Regulatory Event

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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Carl W. Hafele

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl Wilfred Hafele's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIVATE CLIENT SERVICES, LLC

LANIER ASSET MANAGEMENT, LLC

Primary Firm SEC Registration

PRIVATE CLIENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Current Firm

PRIVATE CLIENT SERVICES, LLC

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

PRIVATE CLIENT SERVICES, LLC

TRUST BUT VERIFY

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