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RIA / WealthRegistered adviserasset managerSEC registeredRAUM under $100M

SBAUER FUNDS, LLC

CRD 144782

CARMEL, IN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:39d5e853-d009-0e5e-9074-ad58c918bcf5

Data as of Feb 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 1
On other graphs: 0
Observed: Mar 29, 2012 to Feb 25, 2026
28 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $61.3MItem 5.F on the latest filing (2026-02-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $61.3M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1
Individual clients: 0
High net worth clients: 0
SEC number: 801-68332
CRD: 144782
Filings on the tape: 28
First filed: Mar 29, 2012
Latest filed: Feb 25, 2026
Organised: Limited Liability Company, IN

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
AUER, ROBERT, CARL	PORTFOLIO MANAGER	E	yes	09/2007	Mar 29, 2012	Mar 26, 2024
BROCK, RONALD, ROBERT	OWNER/MEMBER	D	yes	04/2012	Mar 29, 2012	Mar 26, 2024
BROCK, RONALD, ROBERT	CHEIF FINANCIAL OFFICER	Na	yes	09/2007	Mar 29, 2012	Mar 26, 2024
BRUCH, AUDREY, L.	CHIEF COMPLIANCE OFFICER	Na	yes	03/2019	Apr 25, 2019	Mar 26, 2024
GILREATH, DAVID, SHEAFF	OWNER/MEMBER	D	yes	04/2012	Mar 29, 2012	Mar 26, 2024
SHEAFF BROCK CAPITAL MANAGEMENT, LLC	Member	B	no	10/2007	Mar 27, 2013	Mar 26, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
SHEAFF BROCK INVESTMENT ADVISORS, LLC	n/a	Former SEC adviser	$1.4B	N	no	n/a
INNOVATIVE PORTFOLIOS LLC	n/a	Former SEC adviser	$785M	N	no	n/a
SALZINGER SHEAFF BROCK, LLC	n/a	Former SEC adviser	$317M	N	no	n/a
TRUST ADVISORS, LLC	n/a	Former SEC adviser	$0	N	no	n/a
TREVI GP LLC	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Feb 25, 2026	$61.3M	$61.3M	7	3	0	n/a	n/a
2024	Mar 27, 2025	$59.8M	$59.8M	8	3	0	n/a	n/a
2023	Mar 22, 2024	$51.8M	$51.8M	8	3	0	n/a	n/a
2022	Mar 24, 2023	$36.9M	$36.9M	8	3	0	n/a	n/a
2021	Mar 23, 2022	$26.0M	$26.0M	6	3	0	n/a	n/a
2020	Mar 26, 2021	$19.2M	$19.2M	6	3	0	n/a	n/a
2019	Mar 16, 2020	$25.2M	$25.2M	6	3	0	n/a	n/a
2018	Mar 22, 2019	$22.0M	$22.0M	5	3	0	n/a	n/a
2017	Mar 22, 2018	$31.5M	$31.5M	5	3	0	n/a	n/a
2016	Mar 24, 2017	$25.7M	$25.7M	5	3	n/a	n/a	n/a
2015	Mar 30, 2016	$30.8M	$30.8M	5	3	n/a	n/a	n/a
2014	Mar 25, 2015	$56.9M	$56.9M	5	3	n/a	n/a	n/a
2013	Feb 3, 2014	$78.2M	$78.2M	5	3	n/a	n/a	n/a
2012	Mar 27, 2013	$60.4M	$60.4M	6	3	n/a	n/a	n/a
2011	Mar 29, 2012	$119M	$119M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$61.3M	$59.8M	2.6%	$36.9M	18.5%	7	8	0	0

Relationships

Affiliated with (8)

→ SHEAFF BROCK INVESTMENT ADVISORS, LLCRegistered adviserother investment adviser
factForm ADV
→ SALZINGER SHEAFF BROCK, LLCRegistered adviserother investment adviser
factForm ADV
→ INNOVATIVE PORTFOLIOS LLCRegistered adviserother investment adviser
factForm ADV
→ TRUST ADVISORSRegistered adviserother investment adviser
factForm ADV
← SALZINGER SHEAFF BROCK, LLCRegistered adviserother investment adviser
factForm ADV
← SHEAFF BROCK INVESTMENT ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
← INNOVATIVE PORTFOLIOS LLCRegistered adviserother investment adviser
factForm ADV
← TRUST ADVISORSRegistered adviserother investment adviser
factForm ADV

Controls (4)

← BROCK, RONALD, ROBERTOwnerOWNER/MEMBER, ownership code D, individual
Mar 29, 2012 to Mar 26, 2024factForm ADV
← AUER, ROBERT, CARLOwnerPORTFOLIO MANAGER, ownership code E, individual
Mar 29, 2012 to Mar 26, 2024factForm ADV
← BRUCH, AUDREY, L.OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Apr 25, 2019 to Mar 26, 2024factForm ADV
← GILREATH, DAVID, SHEAFFOwnerOWNER/MEMBER, ownership code D, individual
Mar 29, 2012 to Mar 26, 2024factForm ADV

Owns (1)

← SHEAFF BROCK CAPITAL MANAGEMENT, LLCOwnerMEMBER, ownership code B, domestic entity
Mar 27, 2013 to Mar 26, 2024factForm ADV

Dated events

Occurred
Apr 25, 2019
Control person joined
Lynn Audrey Kurzawa (Chief Compliance Officer) appeared on Schedule A of Sbauer Funds, Llc
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:39d5e853-d009-0e5e-9074-ad58c918bcf5
First observed: Mar 29, 2012
Last observed: Feb 25, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

SBAUER FUNDS, LLC

CRD 144782

CARMEL, IN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:39d5e853-d009-0e5e-9074-ad58c918bcf5

Data as of Feb 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:13 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AUER, ROBERT, CARL

PORTFOLIO MANAGER

yes

09/2007

Mar 29, 2012

Mar 26, 2024

BROCK, RONALD, ROBERT

OWNER/MEMBER

yes

04/2012

Mar 29, 2012

Mar 26, 2024

BROCK, RONALD, ROBERT

CHEIF FINANCIAL OFFICER

yes

09/2007

Mar 29, 2012

Mar 26, 2024

BRUCH, AUDREY, L.

CHIEF COMPLIANCE OFFICER

yes

03/2019

Apr 25, 2019

Mar 26, 2024

GILREATH, DAVID, SHEAFF

OWNER/MEMBER

yes

04/2012

Mar 29, 2012

Mar 26, 2024

SHEAFF BROCK CAPITAL MANAGEMENT, LLC

Member

10/2007

Mar 27, 2013

Mar 26, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

SHEAFF BROCK INVESTMENT ADVISORS, LLC

n/a

Former SEC adviser

$1.4B

n/a

INNOVATIVE PORTFOLIOS LLC

n/a

Former SEC adviser

$785M

n/a

SALZINGER SHEAFF BROCK, LLC

n/a

Former SEC adviser

$317M

n/a

TRUST ADVISORS, LLC

n/a

Former SEC adviser

n/a

TREVI GP LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Feb 25, 2026

$61.3M

n/a

2024

Mar 27, 2025

$59.8M

n/a

2023

Mar 22, 2024

$51.8M

n/a

2022

Mar 24, 2023

$36.9M

n/a

2021

Mar 23, 2022

$26.0M

n/a

2020

Mar 26, 2021

$19.2M

n/a

2019

Mar 16, 2020

$25.2M

n/a

2018

Mar 22, 2019

$22.0M

n/a

2017

Mar 22, 2018

$31.5M

n/a

2016

Mar 24, 2017

$25.7M

n/a

2015

Mar 30, 2016

$30.8M

n/a

2014

Mar 25, 2015

$56.9M

n/a

2013

Feb 3, 2014

$78.2M

n/a

2012

Mar 27, 2013

$60.4M

n/a

2011

Mar 29, 2012

$119M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$61.3M

$59.8M

2.6%

$36.9M

18.5%