Caswell R. Fuller

E. S. BARR & COMPANY

LEXINGTON, KY 40502

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CRD#: 8303890

Professional summary

Caswell Richard Fuller, who also goes by Caswell Fuller, is a registered financial advisor currently at E. S. BARR & COMPANY located in Lexington, Kentucky.

Caswell is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2026. Caswell has worked at 1 firm and has passed the Series 65 exam.

At a Glance

Always Fiduciary

Aliases

Caswell Fuller

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Caswell Richard Fuller'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

June 30, 2026 - Present

E. S. BARR & COMPANY

Office #1: 1999 Richmond Road Suite 1b, Lexington, KY 40502

RIA

CRD#: 107447

LEXINGTON, 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".

E. S. BARR & COMPANY

BARR E S & CO | E.S. BARR & COMPANY | E. S. BARR & COMPANY

CRD#: 107447 / SEC#: 801-42566

RIA

Registered Investment Advisory firm - (1/8/1993 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

Kentucky
(6/30/2026)

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: 6/20/2026

Uniform Investment Adviser Law Examination

Current Firm

E. S. BARR & COMPANY

BARR E S & CO | E.S. BARR & COMPANY | E. S. BARR & COMPANY

CRD#: 107447 / SEC#: 801-42566

RIA

Registered Investment Advisory firm - (1/8/1993 Approved)

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Contact information

Main Address

1999 Richmond Road Suite 1b, Lexington, KY 40502

Mailing Address

Phone number

(859) 266-1300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

E.S. BARR & COMPANY ADV PART 2A & 2B - 03/27/25 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	884
AUM (Assets Under Management)	$ 1,971,942,913

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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Caswell R. Fuller

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Caswell Richard Fuller's CRS (Customer Relationship Summary).

Certified licenses

Experience

E. S. BARR & COMPANY

Primary Firm SEC Registration

E. S. BARR & COMPANY

State Registrations and Notice Filings

Exams

Series 65

Date: 6/20/2026

Current Firm

E. S. BARR & COMPANY

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

E. S. BARR & COMPANY

TRUST BUT VERIFY

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