Patrick H. Ricketts,
Principal
Chief Operating Officer
Chief Compliance Officer
Pat Ricketts is Co-Founder of Ricketts Financial, LLC. Pat also serves as Chief Operating Officer (COO) and Chief Compliance Officer (CCO) at Ricketts Financial. Pat is responsible for coordinating all aspects of our practice primarily developing and executing Ricketts Financial’s overall business and marketing strategy as well as investor relations and compliance. In his role, Pat oversees all client services, technology and operations, information and systems technology, HR, trading, reporting, and billing. Pat helps create a positive client experience aimed at streamlining and enhancing the well-being of the families we serve.
Pat has been providing the necessary tools and resources to develop efficient business models, focused on building long-term partnerships with clients by providing best-in-class client service. He began his career in 2005 working with his father, Mike, as a financial advisor trainee at Morgan Keegan & Company. A few years later they would partner with his brother, McCauley, to form The Ricketts Group of Morgan Keegan|Raymond James. From 2005 to 2020, Patrick chaired The Ricketts Group’s Equity Strategy Committee where he worked closely with the Equity Advisory Group and Equity Research Group as well as leading industry portfolio managers and analysts to manage their day-to-day equity and option positions as well as providing his team with the latest market conditions. Pat was also tasked with developing and revising investment policy statements, plan review and cost analysis, asset allocation modeling, manager due diligence, and performance evaluation. After 15 years of service to Morgan Keegan|Raymond James Patrick, McCauley and Mike decided it was time for a new direction and founded Ricketts Financial, LLC in 2020.
Pat is a golf enthusiast and soccer fanatic. He is a native of Louisville, Kentucky and is married to his wife, Ashley. They are the proud parents of three beautiful daughters: Maddie, Elliott and Lucy.
C. McCauley Ricketts,
Principal
Chief Financial Officer
Chief Investment Officer
McCauley Ricketts is Co-Founder of Ricketts Financial, LLC. McCauley also serves as Ricketts Financial’s Chief Financial Officer and Chief Investment Officer. McCauley is tasked with leading the accounting, reporting, financial planning and analysis, budgeting, auditing, and tax reporting of Ricketts Financial. Furthermore, as the head of the firm’s investment team, McCauley determines the firm’s investment strategy, directs the investment selection process, and works in tandem with our client service teams to deliver investment solutions to meet each client’s unique needs. By offering a wide range of investments and financial services, McCauley is committed to helping each client pursue their unique financial goals by actively developing and implementing portfolio strategies and ongoing portfolio management.
Prior to founding Ricketts Financial, McCauley was involved with all aspects of investing from individual stocks and bonds to structured notes and exchange traded funds while working with The Ricketts Group of Morgan Keegan|Raymond James. McCauley has more than 15 years of experience in providing financial and wealth management advice. He started his career at Mass Mutual where he attained his Life & Health insurance licenses. He then joined The Ricketts Group of Morgan Keegan in 2010, where he acquired his Series 7 & 66 securities licenses. His primary role at Morgan Keegan|Raymond James was to develop fixed income strategies tailored to each individual client.
McCauley was born and raised in Louisville, KY. He attended St. Xavier High School and graduated from the University of Kentucky in 2006 with a bachelor’s in economics and a minor in finance. He is married to Jillson Burlew of Owensboro, KY. They have three children, Charlotte, Graham and Elise. Their family is active in the community. Giving back is a central theme in their household. They are proud to have strong relationships with their friends, family, neighbors, charities and clients.
Kristin R. Tucker,
Associate
Executive Sales Assistant
Kristin Tucker has been an integral part of Ricketts Financial from day one. She serves as Ricketts Financial’s Executive Sales Assistant. Kristin focuses on building healthy, personalized client relationships while making a positive impact on the surrounding community. She truly loves serving our client’s unique needs while supporting their financial wellness.
Organized and detail-oriented, Kristin manages the day-to-day administrative operations for Ricketts Financial while providing superior client service to help clients achieve their financial goals. Kristin has a Bachelor of Science from Morehead State University. She has been in the financial service industry for over 15 years working with individual Financial Advisors as well as team structures.
Originally from Richmond, Indiana, Kristin, moved to Louisville in 1998 and is married to her loving husband, Keith. Together they have a blended total of six children; five handsome boys and one beautiful daughter. Aside from spending time with her family Kristin, enjoys volunteering in her local community with several organizations such as Angel Tree, Habitat for Humanity, and Uspiritus.
R. Michael Ricketts,
In Legacy
Mike Ricketts was the Founder and Chief Executive Officer of Ricketts Financial, LLC, and the driving force behind the firm’s enduring commitment to integrity, disciplined investing, and generational stewardship. For more than five decades, Mike dedicated his career to private wealth management, serving families and business owners with thoughtful guidance and a long-term perspective.
Since beginning his career in 1972, Mike built a reputation for always acting in the best interests of his clients. He believed true wealth extended beyond investment performance to include family, education, community, and legacy. His disciplined approach to fixed income and equity portfolio management, combined with a deep understanding of the bond markets, became a cornerstone of the firm’s institutional investment philosophy.
Mike was highly regarded within the industry and nationally recognized for his expertise and leadership. More importantly, he was trusted by generations of families for his wisdom, steadiness, and unwavering commitment to helping them thrive.
Following Mike’s passing in 2025, his two sons, Pat and McCauley, continue to lead Ricketts Financial, carrying forward the principles, investment discipline, and client-first values he instilled. His legacy remains embedded in the culture of the firm and the families it serves.
A lifelong resident of Louisville, Kentucky, Mike was devoted to his wife, Cary, their four children, and nine grandchildren. His life’s work continues through the firm he founded and the values that guide it today.