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
Gimbal Financial, LLC
Latest filing Mar 5, 2026
First filing on the tape Jun 23, 2017 · 18 filings
SEC status approved since Jul 24, 2017
RAUM
$290M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
92%
$267M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$48.3M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$290M as of Mar 5, 2026
Mar 2, 2018$133M then
HNW client RAUM$155M as of Mar 5, 2026
Mar 2, 2018$93.7M then
State-registered IARs (5.B.3)4 as of Mar 5, 2026
Mar 2, 20184 then
Employees (5.A)6 as of Mar 5, 2026
Mar 2, 20188 then
Private funds: no history
RAUM +15% over the last fiscal year+29% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 5, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $48.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 63derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $342,400derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 7.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consulting, otherreportedItem 5.G
- Wrap fee program
- $269MreportedItem 5.I
- Custody
- $67.3M, 321 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$155M53%
- Individuals$112M39%
- Pension and profit-sharing plans$19.7M6.8%
- Charitable organizations$2.7M0.9%
- Corporations and businesses$772,3290.3%
- Individual clients
- 274reported
- HNW clients
- 106reported
- Pension plan clients
- 4reported
- Charitable clients
- 2reported
- Accounts
- 847reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $67.3M for 321 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Keith Alan Tyner | Carmel, In | Oct 26, 2011 | 39 y | 1 |
| Douglas Allen Shrieve | Carmel, In | Oct 26, 2011 | 27 y | 2 |
| Philip Allan Byers | Carmel, In | Jan 29, 2023 | 22 y | 3 |
| Amanda Kristine Hineman | Carmel, In | Dec 8, 2023 | 10 y | 0 |
| Elizabeth Marie Ritz | Carmel, In | Jun 10, 2024 | 25 y | 0 |
| Caleb A Tyner | Carmel, In | Aug 1, 2025 | 12 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Henry Matthew Hernandez to Private Advisor Group, LLCNov 24, 2020 · RIA to RIA
- Jim David Pinkston to Private Advisor Group, LLCNov 24, 2020 · RIA to RIA
Joined, latest
- Philip Allan Byers from Raymond James Financial Services Advisors, IncJan 29, 2023 · Affiliated broker-dealer or bank to independent RIA
- Keith Alan Tyner from LPL Financial LLCOct 26, 2011 · Other
- Douglas Allen Shrieve from LPL Financial LLCOct 26, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Private Advisor Group, LLCNov 24, 2020 · Carmel, In
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Allen Douglas Shrieve · Member, Ccocontrolsince 10/2019 · owns 25% to 50%
- Alan Keith Tyner · Membercontrolsince 06/1997 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Carmel, In · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 804 to 847Mar 28, 2025 to Mar 5, 2026
- Advisory activities · 2 to 3Mar 28, 2025 to Mar 5, 2026
- HNW clients · 73 to 106Mar 28, 2025 to Mar 5, 2026
- Individual clients · 286 to 274Mar 28, 2025 to Mar 5, 2026
- Assets in custody · $237M to $67.3MMar 28, 2025 to Mar 5, 2026
- Discretionary RAUM · $237M to $270MMar 28, 2025 to Mar 5, 2026
- HNW RAUM · $132M to $155MMar 28, 2025 to Mar 5, 2026
- Individual RAUM · $103M to $112MMar 28, 2025 to Mar 5, 2026
- Non-discretionary RAUM · $16.7M to $19.7MMar 28, 2025 to Mar 5, 2026
- Pension RAUM · $16.7M to $19.7MMar 28, 2025 to Mar 5, 2026
- RAUM · $253M to $290MMar 28, 2025 to Mar 5, 2026
- Accounts · 718 to 804Mar 25, 2024 to Mar 28, 2025
- Advisory employees · 3 to 4Mar 25, 2024 to Mar 28, 2025
- Corporate clients · 1 to 2Mar 25, 2024 to Mar 28, 2025
- HNW clients · 47 to 73Mar 25, 2024 to Mar 28, 2025
- Individual clients · 292 to 286Mar 25, 2024 to Mar 28, 2025
- Pension plan clients · 3 to 4Mar 25, 2024 to Mar 28, 2025
- Assets in custody · unset to 236523782.0Mar 25, 2024 to Mar 28, 2025
- Custody of client assets · false to trueMar 25, 2024 to Mar 28, 2025
- Employees · 5 to 6Mar 25, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Mar 25, 2024 to Mar 28, 2025
- State-registered IARs · 3 to 4Mar 25, 2024 to Mar 28, 2025
- Discretionary RAUM · $195M to $237MMar 25, 2024 to Mar 28, 2025
- HNW RAUM · $102M to $132MMar 25, 2024 to Mar 28, 2025
- Individual RAUM · $90.7M to $103MMar 25, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $15.2M to $16.7MMar 25, 2024 to Mar 28, 2025
- Pension RAUM · $15.2M to $16.7MMar 25, 2024 to Mar 28, 2025
- RAUM · $210M to $253MMar 25, 2024 to Mar 28, 2025
- Accounts · 584 to 718Dec 19, 2023 to Mar 25, 2024
- Advisory employees · 2 to 3Dec 19, 2023 to Mar 25, 2024
- Advisory activities · 1 to 2Dec 19, 2023 to Mar 25, 2024
- Charity clients · 1 to 2Dec 19, 2023 to Mar 25, 2024
- HNW clients · 73 to 47Dec 19, 2023 to Mar 25, 2024
- Individual clients · 222 to 292Dec 19, 2023 to Mar 25, 2024
- State-registered IARs · 2 to 3Dec 19, 2023 to Mar 25, 2024
- Discretionary RAUM · $130M to $195MDec 19, 2023 to Mar 25, 2024
- HNW RAUM · $81.5M to $102MDec 19, 2023 to Mar 25, 2024
- Individual RAUM · $45.6M to $90.7MDec 19, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $5.3M to $15.2MDec 19, 2023 to Mar 25, 2024
- Pension RAUM · $6.9M to $15.2MDec 19, 2023 to Mar 25, 2024
Signals
2 dated events
- David Jim Pinkston (Member) no longer on Schedule A of Gimbal Financial, Llc (listed 2019-02-25, absent 2019-10-03)Oct 3, 2019 · Control person left · inference
- Gimbal Financial, Llc filed its initial SEC registration (Form ADV)Jun 23, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 317-578-1600reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- GIMBALFINANCIAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 317-578-1600reportedpublic record, Form ADV, Mar 5, 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
- $48.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026