Hedge Fund Database

GIMBAL FINANCIAL, LLC

Adviser information for GIMBAL FINANCIAL, LLC last updated from Form ADV on March 25th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Indiana, United States

Employees

Total Number of Employees 5
Investment Advisory/Research 3
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 3
Licensed Agents of an Insurance Company 3
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 715 $194.5M
Non-Discretionary 3 $15.2M
Total 718 $209.7M

Clients

Type Number RAUM
Individuals 292 $90.7M
HNW Individuals 47 $102.3M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans <5 $15.2M
Charitable organizations <5 $924,759
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses <5 $602,249
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 0

Services

Advisory Services Portfolio management for individuals and/or small businessesPension consulting services
Compensation % of AUM

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 0
Both for Same 194.5M
Portfolio Manager to Program Sponsor
GIMBAL FINANCIAL LLC WRAP PROGRAM BROCHURE GIMBAL FINANCIAL LLC

Identifiers

SEC RIA File Number 801-110875
SEC ERA File Number 801-110875
SEC CIK Numbers 1835206
SEC CRD Numbers 159003
Legal Entity Identifier None

Principal Office

620 N. RANGELINE ROAD
CARMEL
IN
United States
Monday - Friday, 8-4
Tel: 317-578-1600, Fax: None

Websites

www.gimbalfinancial.com www.facebook.com/profile.php?id=100063689104307 www.youtube.com/channel/uc3xaoqijqr0pomgapnxbyca linkedin.com/in/doug-shrieve-0271989 linkedin.com/in.keith-tyner-a941a58

Chief Compliance Officer

DOUG SHRIEVE
FINANCIAL CONSULTANT
620 N. RANGELINE ROAD
CARMEL
IN
United States
Tel: 317-578-1600
Fax: 317-342-5979
(Full email address available in API data)

Regulatory Contact

SUSAN E MITCHELL
COMPLIANCE CONSULTANT
620 N. RANGELINE ROAD
CARMEL
IN
United States
Tel: 317-409-0453
Fax: 317-342-5979
(Full email address available in API data)

Industry Affiliates

None

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
TYNER, KEITH, ALAN Individual – MEMBER 06/1997 50-75%
SHRIEVE, DOUGLAS, ALLEN Individual – MEMBER, CCO 10/2019 25-50%

No. Employees, Historic

105020192020202120222023202420258 on 10/3/20194 on 3/9/20204 on 6/26/20204 on 6/26/20204 on 9/3/20204 on 3/9/20215 on 3/22/20225 on 7/7/20225 on 3/18/20235 on 3/29/20235 on 12/18/20235 on 12/19/20235 on 3/25/2024

RAUM, Historic

300M150M02019202020212022202320242025132129833 on 10/3/201992849609 on 3/9/202092849609 on 6/26/202092849609 on 6/26/202092849609 on 9/3/2020109538970 on 3/9/2021124297453 on 3/22/2022124297453 on 7/7/2022135017935 on 3/18/2023135017935 on 3/29/2023135017935 on 12/18/2023135017935 on 12/19/2023209702458 on 3/25/2024

No. Clients, Historic

60030002019202020212022202320242025543 on 10/3/2019277 on 3/9/2020277 on 6/26/2020277 on 6/26/2020277 on 9/3/2020286 on 3/9/2021341 on 3/22/2022341 on 7/7/2022300 on 3/18/2023300 on 3/29/2023300 on 12/18/2023300 on 12/19/2023345 on 3/25/2024

Holdings

From latest 13F, filed July 12th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBOTT LABS COM 303K 3K 0
ABBVIE INC COM 497K 3K 0
ALPHABET INC CAP STK CL A 578K 3K 0
AMGEN INC COM 326K 1K 0
APPLE INC COM 1M 4K 0
CALUMET SPECIALTY PRODS PART UT LTD PARTNER 459K 27K 0
CAPITAL GROUP DIVIDEND VALUE SHS CREATION UNI 278K 8K 0
CAPITAL GROUP GBL GROWTH EQT SHS CREATION UNI 337K 11K 0
CISCO SYS INC COM 433K 9K 0
COCA COLA CO COM 226K 4K 0
COLGATE PALMOLIVE CO COM 314K 3K 0
ELI LILLY & CO COM 17M 18K 0
EMERSON ELEC CO COM 271K 2K 0
EXXON MOBIL CORP COM 216K 2K 0
FIDELITY COMWLTH TR NASDAQ COMPSIT 9M 128K 0
FIDELITY COVINGTON TRUST MSCI COMMNTN SVC 1M 26K 0
HOME DEPOT INC COM 408K 1K 0
HONEYWELL INTL INC COM 466K 2K 0
INTEL CORP COM 297K 9K 0
INVESCO QQQ TR UNIT SER 1 280K 569 0
ISHARES GOLD TR ISHARES NEW 14M 309K 0
ISHARES TR CORE DIV GRWTH 20M 339K 0
ISHARES TR ISHARES SEMICDTR 1M 5K 0
ISHARES TR S&P 100 ETF 691K 3K 0
ISHARES TR CORE S&P MCP ETF 9M 144K 0
ISHARES TR CORE S&P500 ETF 24M 42K 0
ISHARES TR S&P 500 GRWT ETF 8M 83K 0
ISHARES TR MSCI INDIA ETF 4M 76K 0
ISHARES TR ROBOTICS ARTIF 8M 239K 0
JOHNSON & JOHNSON COM 735K 5K 0
JPMORGAN CHASE & CO. COM 450K 2K 0
MICROSOFT CORP COM 1M 3K 0
NOVARTIS AG SPONSORED ADR 248K 2K 0
PACER FDS TR TRENDP US LAR CP 3M 64K 0
PACER FDS TR TRENDPILOT 100 3M 45K 0
PEABODY ENERGY CORP COM 280K 12K 0
SCHWAB STRATEGIC TR US DIVIDEND EQ 207K 3K 0
SPDR S&P 500 ETF TR TR UNIT 531K 954 0
TEXAS INSTRS INC COM 1M 5K 0
UNITED PARCEL SERVICE INC CL B 247K 2K 0
VANGUARD SPECIALIZED FUNDS DIV APP ETF 631K 3K 0
VANGUARD WORLD FD COMM SRVC ETF 209K 2K 0
WALMART INC COM 525K 8K 0