Hedge Fund Database

FI3 FINANCIAL ADVISORS, LLC

Adviser information for FI3 FINANCIAL ADVISORS, LLC last updated from Form ADV on March 26th, 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 18
Investment Advisory/Research 18
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 10
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 1,209 $682.5M
Non-Discretionary 195 $109.2M
Total 1,404 $791.7M

Clients

Type Number RAUM
Individuals 44 $12.1M
HNW Individuals 162 $757.4M
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 $5.3M
Charitable organizations 6 $16.6M
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 $277,280
Other 0 $0
Type Number
No. of Non-RAUM Clients 1
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 101-250

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)
Compensation % of AUMFixed feesPERCENTAGE OF CLIENT NET WORTH

Identifiers

SEC RIA File Number 801-113218
SEC ERA File Number 801-113218
SEC CIK Numbers 1862427
SEC CRD Numbers 168005
Legal Entity Identifier None

Principal Office

8900 KEYSTONE CROSSING
SUITE 225
INDIANAPOLIS
IN
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 317-426-8800, Fax: None

Websites

www.twitter@fi3advisors.com www.fi3advisors.com www.linkedin.com/company/3486860

Chief Compliance Officer

ANDY WARNING
255 E. FIFTH STREET
SUITE 1900
CINCINNATI
OH
United States
Tel: 513-832-5463
(Full email address available in API data)

Regulatory Contact

MATT SIMPSON
PARTNER
8900 KEYSTONE CROSSING
SUITE 225
INDIANAPOLIS
IN
United States
Tel: 317-426-8800
Fax: 317-563-0178
(Full email address available in API data)

Industry Affiliates

None

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
FI3 - ACP FUND 2022, LP Private Equity Fund $2.5M $0.3M 25
FI3 CAPITAL PRIVATE EQUITY 2024, LP Private Equity Fund $0.0M $0.5M 0

Control Persons

Name Type Entity Title Since Ownership
HOFFMAN, IVAN, DOUGLAS Individual – MANAGING PARTNER 03/2012 > 75%
SIMPSON, MATTHEW, JOSEPH Individual – BUSINESS PARTNER 10/2017 10-25%
MUSE, SAMUEL, DAVID Individual – BUSINESS PARTNER 10/2017 10-25%
WARNING, ANDREW, S Individual – CHIEF COMPLIANCE OFFICER 09/2021 < 5%

No. Employees, Historic

2010020192020202120222023202420257 on 12/5/20197 on 3/30/20207 on 6/29/20207 on 8/20/20207 on 9/2/20208 on 3/26/20218 on 7/19/20218 on 7/19/202110 on 3/31/202210 on 4/1/202210 on 8/18/202210 on 8/26/202210 on 8/29/202210 on 8/30/202214 on 3/28/202314 on 3/29/202314 on 9/13/202314 on 9/15/202314 on 3/6/202418 on 3/25/202418 on 3/26/2024

RAUM, Historic

800M400M02019202020212022202320242025229091161 on 12/5/2019283582393 on 3/30/2020283582393 on 6/29/2020283582393 on 8/20/2020283582393 on 9/2/2020336852246 on 3/26/2021336852246 on 7/19/2021336852246 on 7/19/2021606192172 on 3/31/2022606192172 on 4/1/2022606192172 on 8/18/2022606192172 on 8/26/2022606192172 on 8/29/2022606192172 on 8/30/2022657210622 on 3/28/2023657210622 on 3/29/2023657210622 on 9/13/2023657210622 on 9/15/2023657210622 on 3/6/2024791674607 on 3/25/2024791674607 on 3/26/2024

No. Clients, Historic

3001500201920202021202220232024202592 on 12/5/2019111 on 3/30/2020111 on 6/29/2020111 on 8/20/2020111 on 9/2/2020154 on 3/26/2021154 on 7/19/2021154 on 7/19/2021194 on 3/31/2022194 on 4/1/2022194 on 8/18/2022194 on 8/26/2022194 on 8/29/2022194 on 8/30/2022183 on 3/28/2023183 on 3/29/2023183 on 9/13/2023183 on 9/15/2023183 on 3/6/2024215 on 3/25/2024215 on 3/26/2024

Holdings

From latest 13F, filed August 14th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBOTT LABS COM 353K 3K 0
ABBVIE INC COM 476K 3K 0
ACCENTURE PLC IRELAND SHS CLASS A 316K 1K 0
ADOBE INC COM 241K 433 0
ADVANCED MICRO DEVICES INC COM 382K 2K 0
ALPHABET INC CAP STK CL A 2M 10K 0
ALPHABET INC CAP STK CL C 836K 5K 0
AMAZON COM INC COM 3M 16K 0
AMGEN INC COM 216K 690 0
APPLE INC COM 9M 41K 0
APPLIED MATLS INC COM 262K 1K 0
AT&T INC COM 260K 14K 0
BANK AMERICA CORP COM 308K 8K 0
BERKSHIRE HATHAWAY INC DEL CL B NEW 1M 3K 0
BOEING CO COM 328K 2K 0
BOOKING HOLDINGS INC COM 230K 58 0
BROADCOM INC COM 777K 484 0
CATERPILLAR INC COM 302K 906 0
CHENIERE ENERGY INC COM NEW 210K 1K 0
CHEVRON CORP NEW COM 292K 2K 0
COCA COLA CO COM 281K 4K 0
COINBASE GLOBAL INC COM CL A 305K 1K 0
COSTCO WHSL CORP NEW COM 575K 677 0
DEERE & CO COM 219K 586 0
EATON CORP PLC SHS 219K 699 0
ELI LILLY & CO COM 13M 15K 0
EXXON MOBIL CORP COM 1M 9K 0
GE AEROSPACE COM NEW 275K 2K 0
GOLDMAN SACHS GROUP INC COM 261K 578 0
HILLENBRAND INC COM 11M 284K 0
HOME DEPOT INC COM 489K 1K 0
INOTIV INC COM 134K 81K 0
INTUITIVE SURGICAL INC COM NEW 233K 524 0
INVESCO QQQ TR UNIT SER 1 213K 444 0
ISHARES INC CORE MSCI EMKT 232K 4K 0
ISHARES TR CORE MSCI EAFE 3M 35K 0
ISHARES TR CORE S&P MCP ETF 237K 4K 0
ISHARES TR CORE S&P SCP ETF 33M 306K 0
ISHARES TR CORE S&P500 ETF 38M 69K 0
ISHARES TR RUS 1000 ETF 853K 3K 0
ISHARES TR MSCI EAFE ETF 5M 67K 0
ISHARES TR CRE U S REIT ETF 882K 16K 0
JOHNSON & JOHNSON COM 431K 3K 0
JPMORGAN CHASE & CO. COM 1M 6K 0
LAKELAND FINL CORP COM 732K 12K 0
LARIMAR THERAPEUTICS INC COM 148K 20K 0
LOWES COS INC COM 289K 1K 0
MARKEL GROUP INC COM 1M 687 0
MASTERCARD INCORPORATED CL A 340K 770 0
MEDTRONIC PLC SHS 572K 7K 0
MERCK & CO INC COM 391K 3K 0
MESOBLAST LTD SPONS ADR 142K 21K 0
META PLATFORMS INC CL A 1M 3K 0
MICRON TECHNOLOGY INC COM 302K 2K 0
MICROSOFT CORP COM 4M 9K 0
NETFLIX INC COM 640K 948 0
NEXTERA ENERGY INC COM 279K 4K 0
NVIDIA CORPORATION COM 3M 27K 0
ORACLE CORP COM 239K 2K 0
PEPSICO INC COM 421K 3K 0
PROCTER AND GAMBLE CO COM 995K 6K 0
QUALCOMM INC COM 391K 2K 0
ROSS STORES INC COM 213K 1K 0
RTX CORPORATION COM 220K 2K 0
SALESFORCE INC COM 307K 1K 0
SCHWAB CHARLES CORP COM 211K 3K 0
SCHWAB STRATEGIC TR US TIPS ETF 6M 120K 0
SIRIUSPOINT LTD COM 456K 37K 0
SPDR S&P 500 ETF TR TR UNIT 16M 30K 0
TESLA INC COM 799K 4K 0
THERMO FISHER SCIENTIFIC INC COM 203K 368 0
TJX COS INC NEW COM 259K 2K 0
UNITEDHEALTH GROUP INC COM 393K 772 0
VANGUARD INDEX FDS TOTAL STK MKT 5M 20K 0
VANGUARD INDEX FDS SMALL CP ETF 7M 32K 0
VANGUARD INDEX FDS GROWTH ETF 658K 2K 0
VANGUARD INDEX FDS VALUE ETF 312K 2K 0
VANGUARD INDEX FDS REAL ESTATE ETF 1M 15K 0
VANGUARD INDEX FDS S&P 500 ETF SHS 3M 7K 0
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 338K 8K 0
VANGUARD MALVERN FDS STRM INFPROIDX 404K 8K 0
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 34M 681K 0
VAXART INC COM NEW 17K 26K 0
VISA INC COM CL A 894K 3K 0
WALMART INC COM 486K 7K 0
WASTE MGMT INC DEL COM 254K 1K 0
WM TECHNOLOGY INC COM 21K 20K 0