MINDSET WEALTH MANAGEMENT, LLC
Adviser information for MINDSET WEALTH MANAGEMENT, LLC last updated from Form ADV on March 27th, 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 | 4 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| 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 | 0 | $0 |
| Non-Discretionary | 0 | $0 |
| Total | 0 | $0 |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| 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 | 0 | $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 businesses |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-129731 |
|---|---|
| SEC ERA File Number | 801-129731 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 330384 |
| Legal Entity Identifier | None |
Principal Office
12161 ROUNDTREE RDFISHERS
IN
United States
Monday - Friday, 8AM TO 5PM
Tel: 317-348-4655, Fax: None
Websites
Chief Compliance Officer
STACY SIZEMORE
15350 SW SEQUOIA PARKWAY
SUITE 250
PORTLAND
OR
United States
Tel:
9713713450
S****@**********M
(Full email address available in API data)
Regulatory Contact
CHRISTOPHER PLUMMER
SENIOR COMPLIANCE OFFICER
15350 SW SEQUOIA PARKWAY
SUITE 250
PORTLAND
OR
United States
Tel:
6108711593
C****@**********M
(Full email address available in API data)
Industry Affiliates
| CHILDRESS CAPITAL ADVISORS, LLC | Other investment adviser, including financial planners |
| JACKSON SQUARE CAPITAL, LLC | Other investment adviser, including financial planners |
| PROMETHIUM ADVISORS, LLC | Other investment adviser, including financial planners |
| SPIREPOINT PRIVATE CLIENT, LLC | Other investment adviser, including financial planners |
| SYKON CAPITAL LLC | Other investment adviser, including financial planners |
| TRU INDEPENDENCE ASSET MANAGEMENT 2 | Other investment adviser, including financial planners |
| TRU INDEPENDENCE ASSET MANAGEMENT, LLC | Other investment adviser, including financial planners |
| VESTIA PERSONAL WEALTH ADVISORS | Other investment adviser, including financial planners |
| VISION CAPITAL MANAGEMENT INC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SIZEMORE, STACY, LEIGH | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2024 | < 5% |
| BJELOPETROVICH, PETER, GORMAN | Individual | – | MANAGING PARTNER | 03/2024 | 25-50% |
| HICKLE, SETH, WILLIAM WEBB | Individual | – | MANAGING PARTNER | 03/2024 | 25-50% |
| HUMPHRIES, JAMES, WILLIAM | Individual | – | MANAGING PARTNER | 03/2024 | 25-50% |
| VANDYGRIFF, MARK, ALLEN | Individual | – | MANAGING PARTNER | 03/2024 | 25-50% |