Hedge Fund Database

VAWTER FINANCIAL LTD

Adviser information for VAWTER FINANCIAL LTD last updated from Form ADV on March 7th, 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 Ohio, United States

Employees

Total Number of Employees 5
Investment Advisory/Research 4
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 3
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 759 $268.9M
Non-Discretionary 0 $0
Total 759 $268.9M

Clients

Type Number RAUM
Individuals 76 $6.5M
HNW Individuals 121 $262.3M
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 0 $0
Charitable organizations <5 $0
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 0 $0
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 Financial planningPortfolio management for individuals and/or small businessesPension consulting services
Compensation % of AUMHourly chargesFixed fees

Identifiers

SEC RIA File Number 801-112975
SEC ERA File Number 801-112975
SEC CIK Numbers 1974403
SEC CRD Numbers 108830
Legal Entity Identifier None

Principal Office

1161 BETHEL ROAD
SUITE 304
COLUMBUS
OH
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: 614-451-1002, Fax: 614-538-2812

Websites

www.linkedin.com/company/vawter-financial-ltd-/ twitter.com/vawterfinancial www.youtube.com/playlist?list=plvtvoqr3gdkvjn2pj606qt6iaetgzhowq www.vawterfinancial.com vimeo.com/user92266688 www.facebook.com/vawterfinancial/

Chief Compliance Officer

GARY VAWTER
OWNER, PRINCIPAL
1161 BETHEL RD
STE 304
COLUMBUS
OH
United States
Tel: 614-451-1002
Fax: 614-538-2812
(Full email address available in API data)

Regulatory Contact

JACKIE WASHBURN
OFFICE MANAGER
1161 BETHEL RD.
STE. 304
COLUMBUS
OH
United States
Tel: 614-451-1002
Fax: 614-538-2812
(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
VAWTER, GARY, LYNN Individual – PRESIDENT & CHIEF COMPLIANCE OFFICER 09/1991 > 75%
WHITAKER, WILLIAM, SAMUEL Individual – OWNER & ADVISOR 01/2024 25-50%
WASHBURN, JACQUELINE Individual – OWNER & OFFICE MANAGER 01/2024 5-10%

No. Employees, Historic

10502020202120222023202420255 on 3/17/20205 on 6/12/20205 on 10/2/20205 on 3/11/20214 on 3/28/20224 on 8/5/20225 on 3/2/20235 on 10/11/20235 on 3/7/2024

RAUM, Historic

300M150M0202020212022202320242025137000000 on 3/17/2020137000000 on 6/12/2020137000000 on 10/2/2020171000000 on 3/11/2021215477134 on 3/28/2022215477134 on 8/5/2022204341294 on 3/2/2023204341294 on 10/11/2023268861435 on 3/7/2024

No. Clients, Historic

2001000202020212022202320242025100 on 3/17/2020100 on 6/12/2020100 on 10/2/2020135 on 3/11/2021166 on 3/28/2022166 on 8/5/2022182 on 3/2/2023182 on 10/11/2023197 on 3/7/2024

Holdings

From latest 13F, filed August 2nd, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
AAON INC COM PAR $0.004 236K 3K –
ABBVIE INC COM 282K 2K –
AGILYSYS INC COM 357K 3K –
AMAZON COM INC COM 458K 2K –
AMERICAN CENTY ETF TR AVANTIS ALL EQT 283K 5K –
AMERICAN CENTY ETF TR AVANTIS MODERAT 694K 12K –
AMERICAN CENTY ETF TR US LARGE CAP VLU 860K 14K –
AMERICAN CENTY ETF TR US SML CP VALU 1M 17K –
APPLE INC COM 2M 10K –
ASML HOLDING N V N Y REGISTRY SHS 224K 219 –
BERKSHIRE HATHAWAY INC DEL CL B NEW 2M 6K –
CAPITAL GROUP GROWTH ETF SHS CREATION UNI 5M 140K –
CAPITAL GROUP INTL FOCUS EQT SHS CREATION UNI 7M 279K –
CHEVRON CORP NEW COM 253K 2K –
COSTCO WHSL CORP NEW COM 304K 358 –
DIMENSIONAL ETF TRUST EMGR CRE EQT MNG 8M 306K –
DIMENSIONAL ETF TRUST GLOBAL REAL EST 3M 126K –
DIMENSIONAL ETF TRUST INTL CORE EQT MK 487K 16K –
DIMENSIONAL ETF TRUST US CORE EQT MKT 292K 8K –
DIMENSIONAL ETF TRUST US LARGE CAP VAL 3M 115K –
DIMENSIONAL ETF TRUST US MKTWIDE VALUE 210K 5K –
DIMENSIONAL ETF TRUST US REAL ESTATE E 1M 51K –
DIMENSIONAL ETF TRUST US TARGETED VLU 9M 167K –
ELI LILLY & CO COM 2M 2K –
EXXON MOBIL CORP COM 275K 2K –
GOLDMAN SACHS ETF TR ACTIVEBETA INT 2M 68K –
GOLDMAN SACHS ETF TR EQUAL WEIGHT US 464K 7K –
ISHARES TR CORE INTL AGGR 480K 10K –
ISHARES TR CORE S&P MCP ETF 1M 24K –
ISHARES TR CORE S&P SCP ETF 3M 32K –
ISHARES TR CORE S&P500 ETF 5M 9K –
ISHARES TR CORE US AGGBD ET 1M 11K –
ISHARES TR MSCI EAFE ETF 355K 5K –
ISHARES TR MSCI EMG MKT ETF 303K 7K –
ISHARES TR RUS 1000 ETF 1M 4K –
ISHARES TR RUS 1000 GRW ETF 736K 2K –
ISHARES TR RUS 1000 VAL ETF 1M 6K –
ISHARES TR RUS 2000 GRW ETF 1M 5K –
ISHARES TR RUS 2000 VAL ETF 2M 12K –
ISHARES TR RUS MID CAP ETF 202K 2K –
ISHARES TR RUSSELL 2000 ETF 746K 4K –
ISHARES TR RUSSELL 3000 ETF 468K 2K –
ISHARES TR TIPS BD ETF 249K 2K –
J P MORGAN EXCHANGE TRADED F ACTIVE BOND ETF 958K 18K –
J P MORGAN EXCHANGE TRADED F BETABUILDERS USD 2M 39K –
J P MORGAN EXCHANGE TRADED F DIV RTN INT EQ 540K 10K –
J P MORGAN EXCHANGE TRADED F SHORT DURA CORE 312K 7K –
J P MORGAN EXCHANGE TRADED F ULTRA SHRT INC 2M 46K –
J P MORGAN EXCHANGE TRADED F ULTRA SHT MUNCPL 3M 62K –
JOHNSON & JOHNSON COM 440K 3K –
JPMORGAN CHASE & CO. COM 718K 4K –
LATTICE STRATEGIES TR HARTFORD MLT ETF 6M 205K –
MICROSOFT CORP COM 350K 783 –
NETFLIX INC COM 337K 500 –
NORFOLK SOUTHN CORP COM 224K 1K –
PROCTER AND GAMBLE CO COM 248K 2K –
REALTY INCOME CORP COM 722K 14K –
SALESFORCE INC COM 294K 1K –
SCHWAB STRATEGIC TR EMRG MKTEQ ETF 872K 33K –
SCHWAB STRATEGIC TR INTERNL DIVID 483K 20K –
SCHWAB STRATEGIC TR INTL SCEQT ETF 634K 18K –
SCHWAB STRATEGIC TR US LCAP VA ETF 518K 7K –
SCHWAB STRATEGIC TR US LRG CAP ETF 212K 3K –
SCHWAB STRATEGIC TR US SML CAP ETF 259K 5K –
SPDR INDEX SHS FDS PORTFOLIO EMG MK 270K 7K –
SPDR S&P 500 ETF TR TR UNIT 379K 696 –
SPDR SER TR PORTFOLI S&P1500 386K 6K –
SPDR SER TR PORTFOLIO S&P600 410K 10K –
SPDR SER TR PRTFLO S&P500 GW 539K 7K –
SPDR SER TR PRTFLO S&P500 VL 324K 7K –
SPDR SER TR S&P 600 SMCP GRW 618K 7K –
SPROTT PHYSICAL GOLD TR UNIT 271K 15K –
STRYKER CORPORATION COM 688K 2K –
UNITED BANCORP INC OHIO COM 457K 36K –
VALE S A SPONSORED ADS 124K 11K –
VANGUARD BD INDEX FDS SHORT TRM BOND 9M 114K –
VANGUARD BD INDEX FDS TOTAL BND MRKT 207K 3K –
VANGUARD CHARLOTTE FDS TOTAL INT BD ETF 9M 182K –
VANGUARD INDEX FDS GROWTH ETF 316K 844 –
VANGUARD INDEX FDS S&P 500 ETF SHS 341K 681 –
VANGUARD INDEX FDS SM CP VAL ETF 2M 14K –
VANGUARD INDEX FDS SMALL CP ETF 9M 42K –
VANGUARD INDEX FDS SML CP GRW ETF 12M 47K –
VANGUARD INDEX FDS TOTAL STK MKT 1M 4K –
VANGUARD INDEX FDS VALUE ETF 1M 7K –
VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 4M 36K –
VANGUARD MUN BD FDS TAX EXEMPT BD 317K 6K –
VANGUARD SCOTTSDALE FDS VNG RUS2000VAL 448K 3K –
VANGUARD STAR FDS VG TL INTL STK F 207K 3K –