SBC WEALTH MANAGEMENT
STRATEGIC BENEFIT CONSULTANTS, INC. Legal Name
Adviser information for SBC WEALTH MANAGEMENT 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Indiana, United States |
Employees
| Total Number of Employees | 14 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 7 |
| 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 | 2,921 | $1.0B |
| Non-Discretionary | 126 | $3.1M |
| Total | 3,047 | $1.0B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 618 | $207.3M |
| HNW Individuals | 492 | $788.0M |
| 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 | $1,418 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | <5 | $12.9M |
| 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 | 11 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 1.0B |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| STRATEGIC WEALTH MANAGEMENT II | TD AMERITRADE, INC. |
Identifiers
| SEC RIA File Number | 801-78108 |
|---|---|
| SEC ERA File Number | 801-78108 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 122433 |
| Legal Entity Identifier | None |
Principal Office
2920 EAST 96TH STREETINDIANAPOLIS
IN
United States
Monday - Friday, 8 AM - 5 PM
Tel: 317-848-4744, Fax: 317-848-4467
Chief Compliance Officer
MATTHEW COREY
2920 E 96TH STREET
INDIANAPOLIS
IN
United States
Tel:
317-848-4744
Fax:
317-848-4467
M*****@************M
(Full email address available in API data)
Regulatory Contact
PATRICK MORROW
CEO
2920 E 96TH STREET
INDIANAPOLIS
IN
United States
Tel:
317-848-4744
Fax:
317-848-4467
P******@************M
(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 |
|---|---|---|---|---|---|
| HOLLEY, SCOTT, GAYLORD | Individual | – | OWNER | 06/1983 | 25-50% |
| MORROW, PATRICK, BRIAN | Individual | – | CEO AND OWNER | 12/1987 | 25-50% |
| PENTZ, ERIN, N | Individual | – | OWNER & CO-COO | 03/2013 | 10-25% |
| SHADOWEN, CARSON, MICHAEL | Individual | – | PRESIDENT, CO-COO, AND OWNER | 08/2017 | 10-25% |
| COREY, MATTHEW, E | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2022 | < 5% |