SBAUER FUNDS, LLC
Adviser information for SBAUER FUNDS, 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 | 8 |
|---|---|
| Investment Advisory/Research | 3 |
| 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 | 1 | $51.8M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $51.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $51.8M |
| 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 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-68332 |
|---|---|
| SEC ERA File Number | 801-68332 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 144782 |
| Legal Entity Identifier | None |
Principal Office
8801 RIVER CROSSING BLVD.SUITE 100
INDIANAPOLIS
IN
United States
Monday - Friday, 9:30AM - 4:00PM
Tel: 317-814-5000, Fax: 317-705-5110
Chief Compliance Officer
AUDREY BRUCH
CHIEF COMPLIANCE OFFICER
8801 RIVER CROSSING BLVD
SUITE 100
INDIANAPOLIS
IN
United States
Tel:
317-814-5000
Fax:
317-705-5110
A******@**************M
(Full email address available in API data)
Regulatory Contact
BRAD STARK
COMPLIANCE MANAGER
8801 RIVER CROSSING BLVD
SUITE 100
INDIANAPOLIS
IN
United States
Tel:
317-814-5000
B****@**************M
(Full email address available in API data)
Industry Affiliates
| INNOVATIVE PORTFOLIOS LLC | Other investment adviser, including financial planners |
| SALZINGER SHEAFF BROCK, LLC | Other investment adviser, including financial planners |
| SHEAFF BROCK INVESTMENT ADVISORS, LLC | Other investment adviser, including financial planners |
| TREVI GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| TRUST ADVISORS | 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 |
|---|---|---|---|---|---|
| GILREATH, DAVID, SHEAFF | Individual | SHEAFF BROCK CAPITAL MANAGEMENT, LLC | OWNER/MEMBER | 04/2012 | 50-75% |
| AUER, ROBERT, CARL | Individual | – | PORTFOLIO MANAGER | 09/2007 | > 75% |
| BROCK, RONALD, ROBERT | Individual | – | CHEIF FINANCIAL OFFICER | 09/2007 | < 5% |
| SHEAFF BROCK CAPITAL MANAGEMENT, LLC | Domestic Entity | – | MEMBER | 10/2007 | 10-25% |
| BROCK, RONALD, ROBERT | Individual | SHEAFF BROCK CAPITAL MANAGEMENT, LLC | OWNER/MEMBER | 04/2012 | 50-75% |
| BRUCH, AUDREY, L. | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2019 | < 5% |