DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Sym Financial Advisors
Legal name Sym Financial Corporation
Latest filing Mar 31, 2026
First filing on the tape Mar 19, 2012 · 39 filings
SEC status approved since May 15, 1985
RAUM
$5.8B
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
65%
$3.8B individuals and HNW
Advisors
33
registered through the firm on IAPD
RAUM per advisor
$176M
derived; firm RAUM over IAPD count
Employees
84
49 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$5.8B as of Mar 31, 2026
Mar 19, 2012$864M then
HNW client RAUM$3.4B as of Mar 31, 2026
Mar 28, 2018$1.1B then
State-registered IARs (5.B.3)33 as of Mar 31, 2026
Mar 6, 20130 then
Employees (5.A)84 as of Mar 31, 2026
Mar 6, 201332 then
Private funds: no history
RAUM +19% over the last fiscal year+20% a year over threeIARs 27 to 33offices 4 to 5
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $176MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $871,157derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 34%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 5.5derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +22%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Financial planning clients
- 1,500reportedItem 5.H
- Custody
- $2.3B, 1,037 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$3.4B58%
- Pension and profit-sharing plans$1.1B20%
- Charitable organizations$815M14%
- Individuals$416M7.2%
- Corporations and businesses$56.0M1.0%
- Individual clients
- 953reported
- HNW clients
- 848reported
- Pension plan clients
- 128reported
- Charitable clients
- 10reported
- Accounts
- 6,673reported
- Financial planning clients
- 1,500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.3B for 1,037 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.65 fund_share=0.0 institutional_share=0.34 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
33 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Jerald William Yeager | Winona Lake, In | Jan 11, 1999 | 29 y | 0 |
| Jonathan P Hueftle | Indianapolis, In | Aug 22, 2002 | 26 y | 0 |
| Robert Seth WhickerCertified Financial Planner | Fort Wayne, In | Jan 17, 2008 | 33 y | 1 |
| Stephen Charles Yeager | Winona Lake, In | Nov 9, 2009 | 25 y | 1 |
| Rodney Scott ColemanCertified Financial Planner | Winona Lake, In | Nov 19, 2009 | 26 y | 0 |
| Nicholas Eugene Gray | Winona Lake, In | Feb 8, 2013 | 30 y | 1 |
| Richard Edward Harrison | Indianapolis, In | May 30, 2013 | 21 y | 2 |
| Bradley Scott DulingCertified Financial Planner | Midland, Mi | Jun 5, 2014 | 16 y | 1 |
| Jonathan Thomas SlocumCertified Financial Planner | Mishawaka, In | Feb 24, 2015 | 14 y | 0 |
| Sarah Lee DelahantyCertified Financial Planner | Midland, Mi | May 26, 2015 | 15 y | 0 |
| Dennis Paul DornbierChartered Financial Analyst | Fort Wayne, In | Oct 27, 2016 | 11 y | 0 |
| Andrew Lee PopenfooseChartered Financial Analyst | Winona Lake, In | Mar 31, 2017 | 12 y | 0 |
| Michelle Marie HipskindCertified Financial Planner | Fort Wayne, In | Apr 5, 2017 | 32 y | 2 |
| Gabriella Diana TuckerCertified Financial Planner | Winona Lake, In | Aug 27, 2018 | 12 y | 2 |
| Brian Ernest SwinehartCertified Financial Planner | Winona Lake, In | Dec 4, 2018 | 24 y | 1 |
| Evan Timothy StarkCertified Financial Planner | Mishawaka, In | May 2, 2019 | 11 y | 1 |
| Thomas Robert Ackmann | Fort Wayne, In | Sep 19, 2019 | 15 y | 0 |
| Derek Scott WeedCertified Financial Planner | Indianapolis, In | Sep 16, 2020 | 13 y | 2 |
| Shane Michael BradleyCertified Financial Planner | Midland, Mi | Mar 26, 2021 | 11 y | 0 |
| Octavian Tuturu SayumweCertified Financial Planner | Winona Lake, In | Mar 26, 2021 | 15 y | 1 |
| Joseph Ethan BrownCertified Financial Planner | Winona Lake, In | Mar 26, 2021 | 11 y | 0 |
| Tyler Scott OstromCertified Financial Planner | Winona Lake, In | May 18, 2022 | 10 y | 0 |
| Jamie Lynn Mitchell | Fort Wayne, In | Jun 21, 2022 | 11 y | 0 |
| Logan Schuyler TimbrookCertified Financial Planner | Fort Wayne, In | Dec 2, 2022 | 13 y | 1 |
| Stephen Lamont LawlerCertified Financial Planner | Midland, Mi | Jan 23, 2023 | 16 y | 0 |
| Keith Andrew BeersCertified Financial Planner | Winona Lake, In | Feb 6, 2025 | 11 y | 0 |
| Benjamin Keith StreeterCertified Financial Planner | Winona Lake, In | Jun 6, 2025 | 10 y | 2 |
| Austin Johnson Burrows | Winona Lake, In | Sep 17, 2025 | 21 y | 2 |
| Zachary Scott Kern | Winona Lake, In | Sep 29, 2025 | 12 y | 0 |
| Janae D O'RourkeCertified Financial Planner, Chartered Financial Consultant | Winona Lake, In | Oct 3, 2025 | 12 y | 2 |
| Adam Robert CashCertified Financial Planner | Indianapolis, In | Feb 3, 2026 | 10 y | 1 |
| Tyler Daniel SnoverCertified Financial Planner | Winona Lake, In | Feb 5, 2026 | 10 y | 0 |
| Bryan Stephen Aanderud | Winona Lake, In | Apr 27, 2026 | 10 y | 0 |
Advisor movement
1 left, 3 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 3.0% of current headcount4 left over 36 months
Left, latest
- Sammuel Heath Simcoe to Empower Advisory Group, LLCDec 9, 2025 · RIA to affiliated broker-dealer or bank
- Mitchell Clayton Kennedy to MarinerJun 21, 2024 · RIA to affiliated broker-dealer or bank
- Sydney Nicole Cale to MarinerApr 3, 2024 · RIA to affiliated broker-dealer or bank
- Amanda Legler to Schwab Wealth Advisory, Inc.Jan 9, 2024 · Other
- Brandon S Stewart to Edward JonesJun 20, 2019 · RIA to affiliated broker-dealer or bank
- Bruce Frederick Hubbell to Lji Wealth Management, LLCFeb 3, 2015 · Other
- Brian Christopher Moldt to Oneamerica Securities, Inc.Dec 31, 2006 · Other
- Michael Paul Watson to Choreo, LLCMar 6, 2003 · Other
Joined, latest
- Adam Robert Cash from Cx Institutional, LLCFeb 3, 2026 · RIA to RIA
- Janae D O'Rourke from Cambridge Investment Research Advisors, Inc.Oct 3, 2025 · Affiliated broker-dealer or bank to independent RIA
- Austin Johnson Burrows from Stephen Douglas Investment Advisory, Inc.Sep 17, 2025 · Other
- Benjamin Keith Streeter from Personal Wealth Partners LLCJun 6, 2025 · RIA to RIA
- Logan Schuyler Timbrook from LPL Financial LLCDec 2, 2022 · RIA to RIA
- Sammuel Heath Simcoe from LPL Financial LLCSep 16, 2022 · RIA to RIA
- Octavian Tuturu Sayumwe from Korhorn Financial GroupMar 26, 2021 · RIA to RIA
- Derek Scott Weed from Schwab Wealth Advisory, Inc.Sep 16, 2020 · Affiliated broker-dealer or bank to independent RIA
- Amanda Legler from Vertical Wealth, LLCJan 21, 2020 · Other
- Evan Timothy Stark from Korhorn Financial GroupMay 2, 2019 · RIA to RIA
- Brian Ernest Swinehart from Equitable Advisors, LLCDec 4, 2018 · Affiliated broker-dealer or bank to independent RIA
- Gabriella Diana Tucker from Schwab Wealth Advisory, Inc.Aug 27, 2018 · Other
- Sydney Nicole Cale from Equitable Advisors, LLCDec 13, 2017 · Other
- Michelle Marie Hipskind from Shelton Financial Group, Inc.Apr 5, 2017 · Other
- Bradley Scott Duling from Gardey Financial Advisors IncJun 5, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Scott Rodney Coleman · Presidentcontrolsince 05/2010 · owns 10% to 25%
- Lee Andrew Popenfoose · Chief Investment Officercontrolsince 10/2016 · owns 5% to 10%
- Seth Robert Whicker · Senior Financial Advisorcontrolsince 08/2010 · owns 10% to 25%
- William Jerald Yeager · Chief Executive Officercontrolsince 05/2003 · owns 5% to 10%
- Charles Stephen Yeager · Senior Financial Advisorcontrolsince 10/2000 · owns 10% to 25%
- Lynn Crystal Allen · Chief Compliance Officersince 01/2009 · owns less than 5%
- Marie Kristin Black · Chief Financial Officersince 01/2019 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Winona Lake, In · principal | 27 | 6 | 1 | ||
| Fort Wayne, In | 11 | 1 | 0 | ||
| Midland, Mi | 7 | 2 | 0 | ||
| Indianapolis, In | 4 | 1 | 0 | ||
| Mishawaka, In | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Fort Wayne, IN16 employees
- Midland, MI10 employees
- Indianapolis, IN4 employees
- Mishawaka, IN4 employees
What changed
consecutive filings, newest first
- Accounts · 5,993 to 6,673Dec 8, 2025 to Mar 31, 2026
- Advisory employees · 41 to 49Dec 8, 2025 to Mar 31, 2026
- Corporate clients · 17 to 20Dec 8, 2025 to Mar 31, 2026
- HNW clients · 728 to 848Dec 8, 2025 to Mar 31, 2026
- Individual clients · 920 to 953Dec 8, 2025 to Mar 31, 2026
- Pension plan clients · 126 to 128Dec 8, 2025 to Mar 31, 2026
- Assets in custody · $2.1B to $2.3BDec 8, 2025 to Mar 31, 2026
- Employees · 74 to 84Dec 8, 2025 to Mar 31, 2026
- State-registered IARs · 27 to 33Dec 8, 2025 to Mar 31, 2026
- Other offices · 4 to 5Dec 8, 2025 to Mar 31, 2026
- Discretionary RAUM · $4.2B to $5.1BDec 8, 2025 to Mar 31, 2026
- HNW RAUM · $2.7B to $3.4BDec 8, 2025 to Mar 31, 2026
- Individual RAUM · $399M to $416MDec 8, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $643M to $675MDec 8, 2025 to Mar 31, 2026
- Pension RAUM · $993M to $1.1BDec 8, 2025 to Mar 31, 2026
- RAUM · $4.9B to $5.8BDec 8, 2025 to Mar 31, 2026
- Financial planning clients · More than 500 to More than 500Mar 31, 2025 to Jul 31, 2025
- Accounts · 5,346 to 5,993Mar 26, 2024 to Mar 31, 2025
- Advisory employees · 44 to 41Mar 26, 2024 to Mar 31, 2025
- Charity clients · 11 to 10Mar 26, 2024 to Mar 31, 2025
- Corporate clients · 13 to 17Mar 26, 2024 to Mar 31, 2025
- HNW clients · 638 to 728Mar 26, 2024 to Mar 31, 2025
- Individual clients · 883 to 920Mar 26, 2024 to Mar 31, 2025
- Pension plan clients · 115 to 126Mar 26, 2024 to Mar 31, 2025
- Assets in custody · $1.6B to $2.1BMar 26, 2024 to Mar 31, 2025
- Employees · 75 to 74Mar 26, 2024 to Mar 31, 2025
- State-registered IARs · 29 to 27Mar 26, 2024 to Mar 31, 2025
- Discretionary RAUM · $3.4B to $4.2BMar 26, 2024 to Mar 31, 2025
- HNW RAUM · $2.2B to $2.7BMar 26, 2024 to Mar 31, 2025
- Individual RAUM · $385M to $399MMar 26, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $612M to $643MMar 26, 2024 to Mar 31, 2025
- Pension RAUM · $852M to $993MMar 26, 2024 to Mar 31, 2025
- RAUM · $4.1B to $4.9BMar 26, 2024 to Mar 31, 2025
- Accounts · 4,634 to 5,346Nov 27, 2023 to Mar 26, 2024
- Advisory employees · 40 to 44Nov 27, 2023 to Mar 26, 2024
- Corporate clients · 14 to 13Nov 27, 2023 to Mar 26, 2024
- HNW clients · 535 to 638Nov 27, 2023 to Mar 26, 2024
- Individual clients · 786 to 883Nov 27, 2023 to Mar 26, 2024
- Pension plan clients · 112 to 115Nov 27, 2023 to Mar 26, 2024
- Assets in custody · $1.4B to $1.6BNov 27, 2023 to Mar 26, 2024
Signals
6 dated events
- Sammuel Heath Simcoe left Sym Financial Advisors for Empower Advisory Group, Llc (registered 2026-06-24)Dec 9, 2025 · Advisor changed firm · fact
- Mitchell Clayton Kennedy left Sym Financial Advisors for Mariner (registered 2024-06-28)Jun 21, 2024 · Advisor changed firm · fact
- Sydney Nicole Cale left Sym Financial Advisors for Mariner (registered 2024-04-09)Apr 3, 2024 · Advisor changed firm · fact
- Amanda Legler left Sym Financial Advisors for Schwab Wealth Advisory, Inc. (registered 2024-03-26)Jan 9, 2024 · Advisor changed firm · fact
- Stephen George Wolfson (Senior Vice President) no longer on Schedule A of Sym Financial Advisors (listed 2018-03-28, absent 2019-03-27)Mar 27, 2019 · Control person left · inference
- Sym Financial Advisors reported 19 state-registered advisory representatives, up from 0 (2017-10-04 to 2018-03-28)Mar 28, 2018 · Advisor headcount change · derived
Across DFX
shared identifiers only, never a name match
- SYM Financial Advisors · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business phone
- 260-387-6822reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 317-848-2180reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 574-267-2300reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/SYM-FINANCIAL-ADVISORS-INDIANA-MICHIGANreportedpublic record, Form ADV, Sep 17, 2026
- Website
- SYM.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 800-888-7968reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- sym.com/contact-usreportedpublished by the firm, firm site, Sep 17, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $176Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026