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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

SALZINGER SHEAFF BROCK, LLC

CRD 139417

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:f1de8b47-8aa4-590c-8ba8-05a5115070c7

Data as of Mar 27, 2025 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 9
On other graphs: 0
Observed: Nov 20, 2012 to Mar 27, 2025
25 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: $317MItem 5.F on the latest filing (2025-03-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $317M
Private client RAUM: $229MderivedItem 5.D individuals plus high net worth individuals
Private client share: 72%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 14
Advisory employees: 4
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 329
Individual clients: 71
High net worth clients: 87
Custody, client assets: $133M
SEC number: 801-77401
CRD: 139417
Filings on the tape: 25
First filed: Nov 20, 2012
Latest filed: Mar 27, 2025
Organised: Limited Liability Company, IN
Website: salzingersheaffbrock.com

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
BROCK, RONALD, ROBERT	CHIEF FINANCIAL OFFICER	C	yes	02/2009	Nov 20, 2012	Oct 31, 2024
BROCK, RONALD, ROBERT	OWNER/MEMBER	D	yes	04/2012	Nov 20, 2012	Oct 31, 2024
GILREATH, DAVID, SHEAFF	OWNER/MEMBER	D	yes	04/2012	Nov 20, 2012	Oct 31, 2024
GILREATH, DAVID, SHEAFF	Member	C	yes	02/2009	Nov 20, 2012	Oct 31, 2024
SALZINGER, MARK, ALAN	CHIEF INVESTMENT OFFICER, PORTFOLIO MANAGER	D	yes	12/2005	Nov 20, 2012	Oct 31, 2024
SHEAFF BROCK CAPITAL MANAGEMENT, LLC	Member	D	yes	02/2009	Nov 20, 2012	Oct 31, 2024
BRUCH, AUDREY, L	CHIEF COMPLIANCE OFFICER	Na	no	03/2017	Mar 27, 2017	Oct 31, 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	yes	n/a
INNOVATIVE PORTFOLIOS LLC	n/a	Former SEC adviser	$785M	N	yes	n/a
SBAUER FUNDS, LLC	n/a	Asset manager	$61.3M	N	no	n/a
TRUST ADVISORS, LLC	n/a	Former SEC adviser	$0	N	yes	n/a
TREVI GP LLC	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

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
2024	Mar 27, 2025	$317M	$317M	14	4	1	n/a	n/a
2023	Mar 22, 2024	$285M	$285M	13	3	1	n/a	n/a
2022	Mar 21, 2023	$242M	$242M	11	4	1	n/a	n/a
2021	Mar 25, 2022	$304M	$304M	8	4	1	n/a	n/a
2020	Mar 26, 2021	$257M	$257M	8	4	1	n/a	n/a
2019	Mar 20, 2020	$196M	$196M	8	4	1	n/a	n/a
2018	Mar 22, 2019	$153M	$153M	7	3	1	n/a	n/a
2017	Mar 21, 2018	$163M	$163M	7	3	1	n/a	n/a
2016	Mar 27, 2017	$142M	$142M	7	3	n/a	n/a	n/a
2015	Mar 30, 2016	$132M	$132M	5	3	n/a	n/a	n/a
2014	Mar 25, 2015	$134M	$134M	5	3	n/a	n/a	n/a
2013	Feb 18, 2014	$107M	$107M	5	3	n/a	n/a	n/a
2012	Mar 27, 2013	$93.0M	$93.0M	5	3	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
2024	$317M	$285M	11.1%	$304M	1.4%	14	13	1	1

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
ALLWORTH FINANCIAL, L.P.	2	Jun 26, 2025	Jun 9, 2025	INDIANAPOLIS, IN	Team lift out	RIA to ibd	66.7%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
SHEAFF BROCK INVESTMENT ADVISORS, LLC	2	Sep 12, 2025	May 1, 2023	INDIANAPOLIS, IN	Team lift out	RIA to RIA	13.3%

Relationships

Affiliated with (8)

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

Registered with (5)

← Mark SalzingerAdvisorregistration: previous registration
Jun 5, 2006 to Jun 26, 2025factForm ADV
← Tiffany VanHookAdvisorregistration: previous registration
May 1, 2023 to Jun 26, 2025factForm ADV
← David GilreathAdvisorregistration: previous registration
Oct 28, 2015 to Jun 26, 2025factForm ADV
← Samantha PezzuteAdvisorregistration: previous registration
Nov 16, 2023 to Oct 31, 2024factForm ADV
← PETER GORMAN BJELOPETROVICHAdvisorregistration: previous registration
May 8, 2019 to Feb 14, 2023factForm ADV

Moved with (2)

→ ALLWORTH FINANCIAL, L.P.Registered adviser2 advisors, team lift out, same day
Jun 26, 2025 to Jun 9, 2025factForm ADV
← SHEAFF BROCK INVESTMENT ADVISORS, LLCRegistered adviser2 advisors, team lift out, same day
Sep 12, 2025 to May 1, 2023factForm ADV

Controls (4)

← BROCK, RONALD, ROBERTOwnerOWNER/MEMBER, ownership code D, individual
Nov 20, 2012 to Oct 31, 2024factForm ADV
← SALZINGER, MARK, ALANOwnerCHIEF INVESTMENT OFFICER, PORTFOLIO MANAGER, ownership code D, individual
Nov 20, 2012 to Oct 31, 2024factForm ADV
← GILREATH, DAVID, SHEAFFOwnerOWNER/MEMBER, ownership code D, individual
Nov 20, 2012 to Oct 31, 2024factForm ADV
← SHEAFF BROCK CAPITAL MANAGEMENT, LLCOwnerMEMBER, ownership code D, domestic entity
Nov 20, 2012 to Oct 31, 2024factForm ADV

Owns (1)

← BRUCH, AUDREY, LOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 27, 2017 to Oct 31, 2024factForm ADV

Dated events

Occurred
Sep 12, 2025
Team lift-out
2 advisors left Sheaff Brock Investment Advisors, LLC (Indianapolis, IN) for Salzinger Sheaff Brock, LLC on the same day
Form ADVobserved 6 days ago
2 advisors
Occurred
Jul 1, 2025
Left the SEC roster
Salzinger Sheaff Brock, Llc no longer on the SEC adviser roster (last listed 2025-06-02, RAUM $317.1M)
Form ADVobserved 6 days ago
$317M
Occurred
Jun 26, 2025
Team lift-out
2 advisors left Salzinger Sheaff Brock, LLC (Indianapolis, IN) for Allworth Financial, L.P. on the same day
Form ADVobserved 6 days ago
2 advisors
Occurred
Jun 26, 2025
Advisor changed firm
Tiffany Vanhook left Salzinger Sheaff Brock, Llc for Allworth Financial, L.P. (registered 2025-06-09)
Form ADVobserved 6 days ago
Occurred
Jun 26, 2025
Advisor changed firm
David Gilreath left Salzinger Sheaff Brock, Llc for Innovative Portfolios Llc (registered 2015-10-28)
Form ADVobserved 6 days ago
Occurred
Jun 26, 2025
Advisor changed firm
Mark Salzinger left Salzinger Sheaff Brock, Llc for Allworth Financial, L.P. (registered 2025-05-30)
Form ADVobserved 6 days ago
Occurred
Oct 31, 2024
Advisor changed firm
Samantha Pezzute left Salzinger Sheaff Brock, Llc for Sheaff Brock Investment Advisors, Llc (registered 2023-11-29)
Form ADVobserved 6 days ago
Occurred
Feb 14, 2023
Advisor changed firm
Peter Gorman Bjelopetrovich left Salzinger Sheaff Brock, Llc for Sheaff Brock Investment Advisors, Llc (registered 2019-05-08)
Form ADVobserved 6 days ago
Occurred
Nov 20, 2012
First Form ADV filing
Salzinger Sheaff Brock, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f1de8b47-8aa4-590c-8ba8-05a5115070c7
First observed: Nov 20, 2012
Last observed: Mar 27, 2025 18 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.

SALZINGER SHEAFF BROCK, LLC

CRD 139417

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:f1de8b47-8aa4-590c-8ba8-05a5115070c7

Data as of Mar 27, 2025 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:03 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BROCK, RONALD, ROBERT

CHIEF FINANCIAL OFFICER

yes

02/2009

Nov 20, 2012

Oct 31, 2024

BROCK, RONALD, ROBERT

OWNER/MEMBER

yes

04/2012

Nov 20, 2012

Oct 31, 2024

GILREATH, DAVID, SHEAFF

OWNER/MEMBER

yes

04/2012

Nov 20, 2012

Oct 31, 2024

GILREATH, DAVID, SHEAFF

Member

yes

02/2009

Nov 20, 2012

Oct 31, 2024

SALZINGER, MARK, ALAN

CHIEF INVESTMENT OFFICER, PORTFOLIO MANAGER

yes

12/2005

Nov 20, 2012

Oct 31, 2024

SHEAFF BROCK CAPITAL MANAGEMENT, LLC

Member

yes

02/2009

Nov 20, 2012

Oct 31, 2024

BRUCH, AUDREY, L

CHIEF COMPLIANCE OFFICER

03/2017

Mar 27, 2017

Oct 31, 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

yes

n/a

INNOVATIVE PORTFOLIOS LLC

n/a

Former SEC adviser

$785M

yes

n/a

SBAUER FUNDS, LLC

n/a

Asset manager

$61.3M

n/a

TRUST ADVISORS, LLC

n/a

Former SEC adviser

yes

n/a

TREVI GP LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2024

Mar 27, 2025

$317M

n/a

2023

Mar 22, 2024

$285M

n/a

2022

Mar 21, 2023

$242M

n/a

2021

Mar 25, 2022

$304M

n/a

2020

Mar 26, 2021

$257M

n/a

2019

Mar 20, 2020

$196M

n/a

2018

Mar 22, 2019

$153M

n/a

2017

Mar 21, 2018

$163M

n/a

2016

Mar 27, 2017

$142M

n/a

2015

Mar 30, 2016

$132M

n/a

2014

Mar 25, 2015

$134M

n/a

2013

Feb 18, 2014

$107M

n/a

2012

Mar 27, 2013

$93.0M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2024

$317M

$285M

11.1%

$304M

1.4%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

ALLWORTH FINANCIAL, L.P.

Jun 26, 2025

Jun 9, 2025

INDIANAPOLIS, IN

Team lift out

RIA to ibd

66.7%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

SHEAFF BROCK INVESTMENT ADVISORS, LLC

Sep 12, 2025

May 1, 2023

INDIANAPOLIS, IN

Team lift out

RIA to RIA

13.3%