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Natural language is mapped to bounded SEC/IARD and Form ADV research. Registration is not endorsement, and missing evidence is not a clean history.

We interpreted your question as

Research task: firm discovery
Firm class: RIA + ERA (separate classes)
office state: IN — APPLIED

Natural-language parsing and regulatory execution stay separate. Change the question and resubmit.

Distribution

Matching firm facts161

form_adv_firm_facts rows matching filters

PROVIDER FINANCIAL, INC.
Registered investment adviser (RIA)
CRD
168964
Principal office
INDIANAPOLIS, IN, 46280
RAUM (Item 5F(2)(c))
$304.0 million ($303,974,168.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges
Latest ADV filing in extract
2026-02-07
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Indiana.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 168964; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
QBOX FIDUCIARY SOLUTIONS, LLC
Registered investment adviser (RIA)
CRD
167622
Principal office
FORT WAYNE, IN, 46825
RAUM (Item 5F(2)(c))
$429.2 million ($429,174,633.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Fixed fees
Latest ADV filing in extract
2026-03-05
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Indiana.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 167622; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
QUANTUM FINANCIAL SERVICES INC.
Registered investment adviser (RIA)
CRD
121631
Principal office
INDIANAPOLIS, IN, 46250
RAUM (Item 5F(2)(c))
$730.9 million ($730,899,118.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees
Latest ADV filing in extract
2026-03-31
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Indiana.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 121631; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
REIFY WEALTH ADVISORS, INC.
Registered investment adviser (RIA)
CRD
121978
Principal office
INDIANAPOLIS, IN, 46268
RAUM (Item 5F(2)(c))
$524.4 million ($524,414,189.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges
Latest ADV filing in extract
2026-03-19
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Indiana.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 121978; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
ROSENTHAL | HENRY CAPITAL ADVISORS, INC.
Exempt reporting adviser (ERA)
CRD
158537
Principal office
MISHAWAKA, IN, 46545
RAUM (Item 5F(2)(c))
ERA filers do not file Item 5F(2)(c) RAUM
Compensation methods (Item 5.E)
Not a Y/N method list on this card
Latest ADV filing in extract
2026-03-03
Source status text
ERA - Active
Why this matched. This firm matches because it is classified as an ERA in the current SEC/IARD roster, it reports its principal office in Indiana.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 158537; Exempt reporting adviser (ERA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
SAPIENT CAPITAL LLC
Registered investment adviser (RIA)
CRD
324899
Principal office
INDIANAPOLIS, IN, 46280
RAUM (Item 5F(2)(c))
$13.8 billion ($13,756,996,022.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Fixed fees; Performance-based fees
Latest ADV filing in extract
2026-03-17
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Indiana.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 324899; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
SBAUER FUNDS, LLC
Registered investment adviser (RIA)
CRD
144782
Principal office
CARMEL, IN, 46032
RAUM (Item 5F(2)(c))
$61.3 million ($61,336,188.00)
Compensation methods (Item 5.E)
Percentage of assets under management
Latest ADV filing in extract
2026-02-25
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Indiana.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Trace this result
Identity
Firm CRD 144782; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
Public research profile published
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Research this adviser
SHEPHERD FINANCIAL INVESTMENT ADVISORY LLC
Registered investment adviser (RIA)
CRD
288623
Principal office
CARMEL, IN, 46032
RAUM (Item 5F(2)(c))
$6.2 billion ($6,177,640,329.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Fixed fees
Latest ADV filing in extract
2026-03-31
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Indiana.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 288623; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
SMI ADVISORY SERVICES, LLC
Registered investment adviser (RIA)
CRD
137872
Principal office
COLUMBUS, IN, 47203
RAUM (Item 5F(2)(c))
$949.0 million ($949,000,000.00)
Compensation methods (Item 5.E)
Percentage of assets under management
Latest ADV filing in extract
2026-01-15
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Indiana.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 137872; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
SMITH FINANCIAL
Registered investment adviser (RIA)
CRD
154022
Principal office
KOKOMO, IN, 46902
RAUM (Item 5F(2)(c))
$456.9 million ($456,904,847.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees
Latest ADV filing in extract
2026-03-27
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Indiana.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 154022; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
SPYGLASS INVESTMENT MANAGEMENT
Registered investment adviser (RIA)
CRD
122594
Principal office
TERRE HAUTE, IN, 47802
RAUM (Item 5F(2)(c))
$156.4 million ($156,419,092.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges
Latest ADV filing in extract
2026-03-16
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Indiana.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 122594; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
STOREN FINANCIAL
Registered investment adviser (RIA)
CRD
339197
Principal office
ZIONSVILLE, IN, 46077
RAUM (Item 5F(2)(c))
$438.3 million ($438,267,419.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees
Latest ADV filing in extract
2026-04-07
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Indiana.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 339197; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
STRIVE FINANCIAL GROUP, LLC
Registered investment adviser (RIA)
CRD
333298
Principal office
CARMEL, IN, 46290
RAUM (Item 5F(2)(c))
$246.7 million ($246,692,286.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Fixed fees; Commissions
Latest ADV filing in extract
2026-07-10
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Indiana.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 333298; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
SUNRISE CAPITAL MANAGEMENT, LLC
Exempt reporting adviser (ERA)
CRD
338975
Principal office
FISHERS, IN, 46038
RAUM (Item 5F(2)(c))
ERA filers do not file Item 5F(2)(c) RAUM
Compensation methods (Item 5.E)
Not a Y/N method list on this card
Latest ADV filing in extract
2026-01-30
Source status text
ERA - Active
Why this matched. This firm matches because it is classified as an ERA in the current SEC/IARD roster, it reports its principal office in Indiana.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 338975; Exempt reporting adviser (ERA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
SYCAMORE FINANCIAL GROUP
Registered investment adviser (RIA)
CRD
14143
Principal office
KOKOMO, IN, 46902
RAUM (Item 5F(2)(c))
$787.4 million ($787,411,448.00)
Compensation methods (Item 5.E)
Percentage of assets under management
Latest ADV filing in extract
2026-03-13
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Indiana.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 14143; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
SYM FINANCIAL ADVISORS
Registered investment adviser (RIA)
CRD
107517
Principal office
WINONA LAKE, IN, 46590
RAUM (Item 5F(2)(c))
$5.8 billion ($5,813,231,190.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Fixed fees
Latest ADV filing in extract
2026-03-31
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Indiana.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 107517; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
TEEPLE SNYDER NEWSOME WEALTH & TAX MANAGEMENT
Registered investment adviser (RIA)
CRD
147676
Principal office
BROWNSBURG, IN, 46112
RAUM (Item 5F(2)(c))
$287.0 million ($287,042,349.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees
Latest ADV filing in extract
2026-07-09
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Indiana.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 147676; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
THE FINANCIAL RESOURCE CENTER
Registered investment adviser (RIA)
CRD
316747
Principal office
CARMEL, IN, 46032
RAUM (Item 5F(2)(c))
$642.5 million ($642,481,363.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees
Latest ADV filing in extract
2026-03-27
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Indiana.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 316747; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
THE WELLINGTON GRP LLC
Registered investment adviser (RIA)
CRD
332803
Principal office
INDIANAPOLIS, IN, 46240
RAUM (Item 5F(2)(c))
$473.6 million ($473,645,985.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Other
Latest ADV filing in extract
2026-03-31
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Indiana.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 332803; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
THOMAS STORY AND SON LLC
Registered investment adviser (RIA)
CRD
148774
Principal office
PLYMOUTH, IN, 46563-9374
RAUM (Item 5F(2)(c))
$328.2 million ($328,238,000.00)
Compensation methods (Item 5.E)
Percentage of assets under management
Latest ADV filing in extract
2026-03-05
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Indiana.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 148774; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD

Trace this query

office state: Requested: IN; APPLIED; effective: IN. Recorded principal office, not client geography, registration jurisdiction or service territory. Field/capability: branches.region (is_main_office)
Contract: investor-ask-v1
Source dataset: Not established for all returned rows
Official as-of / retrieved: Not established for all returned rows / 2026-08-18
Source clock meaning: Source releases attached to returned firm facts; unknown publication dates remain unknown. Release labels are not converted to official effective dates.
Geography meaning: Recorded principal office, not client geography, registration jurisdiction or service territory
RAUM units: USD as reported on Form ADV Item 5F(2)(c)
Compensation taxonomy: Form ADV Item 5.E(1)–5.E(7) Y/N methods
Identifier method: Not an identifier query
Elapsed: 160 ms

Ask does not invent firm facts. Results come from the current SEC/IARD extract.
RIA is not ERA. Counts stay in their class.
Principal office is not client geography.
RAUM is Item 5F(2)(c), not performance.
Item 5.E methods are not fee amounts.
Missing disclosure is not a clean history.
Public firm reports are a publication gate (Wave-1), not a ranking.

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Distribution

PROVIDER FINANCIAL, INC.

QBOX FIDUCIARY SOLUTIONS, LLC

QUANTUM FINANCIAL SERVICES INC.

REIFY WEALTH ADVISORS, INC.

ROSENTHAL | HENRY CAPITAL ADVISORS, INC.

SAPIENT CAPITAL LLC

SBAUER FUNDS, LLC

SHEPHERD FINANCIAL INVESTMENT ADVISORY LLC

SMI ADVISORY SERVICES, LLC

SMITH FINANCIAL

SPYGLASS INVESTMENT MANAGEMENT

STOREN FINANCIAL

STRIVE FINANCIAL GROUP, LLC

SUNRISE CAPITAL MANAGEMENT, LLC

SYCAMORE FINANCIAL GROUP

SYM FINANCIAL ADVISORS

TEEPLE SNYDER NEWSOME WEALTH & TAX MANAGEMENT

THE FINANCIAL RESOURCE CENTER

THE WELLINGTON GRP LLC

THOMAS STORY AND SON LLC