DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

SBC WEALTH MANAGEMENT

STRATEGIC BENEFIT CONSULTANTS, INC., CRD 122433

INDIANAPOLIS, 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:738ef1eb-a4bc-c381-d6fb-d504c6d09954

Data as of Sep 30, 2024 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 17
On other graphs: 0
Observed: May 20, 2013 to Sep 30, 2024
32 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $1.0BItem 5.F on the latest filing (2024-09-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.0B
Private client RAUM: $995MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 14
Advisory employees: 7
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 3,047
Individual clients: 618
High net worth clients: 492
Custody, client assets: $641M
SEC number: 801-78108
CRD: 122433
Filings on the tape: 32
First filed: May 20, 2013
Latest filed: Sep 30, 2024
Organised: Corporation, Indiana

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
HOLLEY, SCOTT, GAYLORD	Owner	C	yes	06/1983	May 20, 2013	Sep 30, 2024
MORROW, PATRICK, BRIAN	CEO AND OWNER	C	yes	12/1987	May 20, 2013	Sep 30, 2024
PENTZ, ERIN, N	OWNER & CO-COO, CHIEF COMPLIANCE OFFICER	B	yes	03/2013	May 20, 2013	Sep 30, 2024
SHADOWEN, CARSON, MICHAEL	PRESIDENT, CO-COO, AND OWNER	B	yes	08/2017	Sep 14, 2017	Sep 30, 2024

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
2023	Mar 27, 2024	$1.0B	$1.0B	14	7	0	n/a	n/a
2022	Mar 30, 2023	$878M	$875M	18	9	0	n/a	n/a
2021	Mar 29, 2022	$1.0B	$1.0B	15	9	0	n/a	n/a
2020	Mar 25, 2021	$827M	$824M	15	8	0	n/a	n/a
2019	Mar 26, 2020	$689M	$689M	14	8	0	n/a	n/a
2018	Mar 28, 2019	$535M	$535M	13	7	0	n/a	n/a
2017	Mar 29, 2018	$503M	$503M	11	5	0	n/a	n/a
2016	Mar 6, 2017	$414M	$414M	10	5	n/a	n/a	n/a
2015	Mar 9, 2016	$353M	$353M	10	6	n/a	n/a	n/a
2014	Feb 19, 2015	$337M	$337M	8	4	n/a	n/a	n/a
2013	Mar 25, 2014	$287M	$287M	8	4	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
2023	$1.0B	$878M	14.8%	$827M	6.8%	14	18	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CERITY PARTNERS LLC	5	Nov 25, 2024	Oct 1, 2024	INDIANAPOLIS, IN	Firm absorbed	RIA to RIA	62.5%
LPL FINANCIAL LLC	3	Nov 25, 2024	Feb 13, 2014	INDIANAPOLIS, IN	Team lift out	RIA to ibd	37.5%

Relationships

Controls (4)

← MORROW, PATRICK, BRIANOwnerCEO AND OWNER, ownership code C, individual
May 20, 2013 to presentfactForm ADV
← SHADOWEN, CARSON, MICHAELOwnerPRESIDENT, CO-COO, AND OWNER, ownership code B, individual
Sep 14, 2017 to presentfactForm ADV
← PENTZ, ERIN, NOwnerOWNER & CO-COO, CHIEF COMPLIANCE OFFICER, ownership code B, individual
May 20, 2013 to presentfactForm ADV
← HOLLEY, SCOTT, GAYLORDOwnerOWNER, ownership code C, individual
May 20, 2013 to presentfactForm ADV

Registered with (13)

← PATRICK BRIAN MORROWAdvisorregistration: previous registration
Jan 11, 1999 to Nov 25, 2024factForm ADV
← CARSON MICHAEL SHADOWENAdvisorregistration: previous registration
Jan 11, 2011 to Nov 25, 2024factForm ADV
← ERIN N PENTZAdvisorregistration: previous registration
Sep 29, 2006 to Nov 25, 2024factForm ADV
← ANDREW KYLE FAIRMANAdvisorregistration: previous registration
Sep 12, 2017 to Nov 25, 2024factForm ADV
← KEVIN Robert SASENAAdvisorregistration: previous registration
Nov 27, 2018 to Nov 25, 2024factForm ADV
← SARAH BRITTANY DECAMPAdvisorregistration: previous registration
Sep 11, 2015 to Nov 25, 2024factForm ADV
← Dylan Hunter ScheidAdvisorregistration: previous registration
Feb 2, 2024 to Nov 25, 2024factForm ADV
← SCOTT GAYLORD HOLLEYAdvisorregistration: previous registration
Jan 11, 1999 to Nov 25, 2024factForm ADV
← ANDREW TERRENCE HANCOCKAdvisorregistration: previous registration
Sep 10, 2021 to Mar 6, 2024factForm ADV
← Shanna MonroeAdvisorregistration: previous registration
Aug 30, 2022 to Sep 25, 2023factForm ADV
← MATTHEW ROBERT MCBROOMAdvisorregistration: previous registration
Dec 9, 2019 to Aug 31, 2023factForm ADV
← JAMES K LEWISAdvisorregistration: previous registration
Sep 11, 2015 to Apr 12, 2017factForm ADV
← THOMAS PAUL GALULLOAdvisorregistration: previous registration
Jan 11, 1999 to Sep 16, 2010factForm ADV

Moved with (2)

→ CERITY PARTNERS LLCRegistered adviser5 advisors, firm absorbed, same day
Nov 25, 2024 to Oct 1, 2024factForm ADV
→ LPL FINANCIAL LLCRegistered adviser3 advisors, team lift out, same day
Nov 25, 2024 to Feb 13, 2014factForm ADV

Dated events

Occurred
Nov 25, 2024
Firm absorbed
Sbc Wealth Management's advisors moved to Cerity Partners LLC (Indianapolis, IN): 5 of 8 registered, on the same day
Form ADVobserved 6 days ago
5 advisors
Occurred
Nov 25, 2024
Team lift-out
3 advisors left Sbc Wealth Management (Indianapolis, IN) for LPL Financial LLC on the same day
Form ADVobserved 6 days ago
3 advisors
Occurred
Nov 25, 2024
Advisor changed firm
Scott Gaylord Holley left Sbc Wealth Management for Lpl Financial Llc (registered 2000-11-16)
Form ADVobserved 6 days ago
Occurred
Nov 25, 2024
Advisor changed firm
Erin N Pentz left Sbc Wealth Management for Lpl Financial Llc (registered 2014-02-13)
Form ADVobserved 6 days ago
Occurred
Nov 25, 2024
Advisor changed firm
Carson Michael Shadowen left Sbc Wealth Management for Cerity Partners Llc (registered 2024-10-01)
Form ADVobserved 6 days ago
Occurred
Nov 25, 2024
Advisor changed firm
Dylan Hunter Scheid left Sbc Wealth Management for Cerity Partners Llc (registered 2024-10-01)
Form ADVobserved 6 days ago
Occurred
Nov 25, 2024
Advisor changed firm
Andrew Kyle Fairman left Sbc Wealth Management for Cerity Partners Llc (registered 2024-10-01)
Form ADVobserved 6 days ago
Occurred
Nov 25, 2024
Advisor changed firm
Sarah Brittany Decamp left Sbc Wealth Management for Cerity Partners Llc (registered 2024-10-01)
Form ADVobserved 6 days ago
Occurred
Nov 25, 2024
Advisor changed firm
Patrick Brian Morrow left Sbc Wealth Management for Lpl Financial Llc (registered 2000-11-16)
Form ADVobserved 6 days ago
Occurred
Nov 25, 2024
Advisor changed firm
Kevin Robert Sasena left Sbc Wealth Management for Cerity Partners Llc (registered 2024-10-01)
Form ADVobserved 6 days ago
Occurred
Sep 30, 2024
Control person left
E Matthew Corey (Chief Compliance Officer) no longer on Schedule A of Sbc Wealth Management (listed 2024-03-27, absent 2024-09-30)
Form ADVobserved 6 days ago
Occurred
Mar 6, 2024
Advisor changed firm
Andrew Terrence Hancock left Sbc Wealth Management for Lido (registered 2024-02-26)
Form ADVobserved 6 days ago
Occurred
Sep 25, 2023
Advisor changed firm
Shanna Monroe left Sbc Wealth Management for Northwestern Mutual Investment Services,Llc (registered 2023-11-01)
Form ADVobserved 6 days ago
Occurred
Aug 31, 2023
Advisor changed firm
Matthew Robert Mcbroom left Sbc Wealth Management for Aaron Wealth Advisors (registered 2023-09-19)
Form ADVobserved 6 days ago
Occurred
Jun 17, 2022
Control person joined
E Matthew Corey (Chief Compliance Officer) appeared on Schedule A of Sbc Wealth Management
Form ADVobserved 6 days ago
Occurred
Mar 26, 2020
Regulatory AUM changed
Sbc Wealth Management reported RAUM $688.6M, up 29% from $534.6M (2019-03-28 to 2020-03-26)
Form ADVobserved 6 days ago
$154M
Occurred
May 20, 2013
First Form ADV filing
Sbc Wealth Management filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:738ef1eb-a4bc-c381-d6fb-d504c6d09954
First observed: May 20, 2013
Last observed: Sep 30, 2024 24 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.

SBC WEALTH MANAGEMENT

STRATEGIC BENEFIT CONSULTANTS, INC., CRD 122433

INDIANAPOLIS, 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:738ef1eb-a4bc-c381-d6fb-d504c6d09954

Data as of Sep 30, 2024 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:42 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HOLLEY, SCOTT, GAYLORD

Owner

yes

06/1983

May 20, 2013

Sep 30, 2024

MORROW, PATRICK, BRIAN

CEO AND OWNER

yes

12/1987

May 20, 2013

Sep 30, 2024

PENTZ, ERIN, N

OWNER & CO-COO, CHIEF COMPLIANCE OFFICER

yes

03/2013

May 20, 2013

Sep 30, 2024

SHADOWEN, CARSON, MICHAEL

PRESIDENT, CO-COO, AND OWNER

yes

08/2017

Sep 14, 2017

Sep 30, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

Mar 27, 2024

$1.0B

n/a

2022

Mar 30, 2023

$878M

$875M

n/a

2021

Mar 29, 2022

$1.0B

n/a

2020

Mar 25, 2021

$827M

$824M

n/a

2019

Mar 26, 2020

$689M

n/a

2018

Mar 28, 2019

$535M

n/a

2017

Mar 29, 2018

$503M

n/a

2016

Mar 6, 2017

$414M

n/a

2015

Mar 9, 2016

$353M

n/a

2014

Feb 19, 2015

$337M

n/a

2013

Mar 25, 2014

$287M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

$1.0B

$878M

14.8%

$827M

6.8%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CERITY PARTNERS LLC

Nov 25, 2024

Oct 1, 2024

INDIANAPOLIS, IN

Firm absorbed

RIA to RIA

62.5%

LPL FINANCIAL LLC

Nov 25, 2024

Feb 13, 2014

INDIANAPOLIS, IN

Team lift out

RIA to ibd

37.5%