Sbauer Funds, LLC (Indianapolis)

Name: Sbauer Funds, LLC
Address: 8801 River Crossing Blvd., Indianapolis, IN, 46240
Telephone: 317-814-5000

Sbauer Funds, LLC is an investment adviser to an investment company based in Indianapolis. It manages $21.97 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdiction of Indiana.

Sbauer Funds provides portfolio management for investment companies. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Sbauer Funds: assets under management

The assets under management (AUM) of Sbauer Funds, LLC is $21.97 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -35% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $21.97 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $21.97 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Sbauer Funds, LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Sbauer Funds serves?

The only and largest group of clients of Sbauer Funds is investment companies with 1 clients and $21.97 million of assets under management. Among the 2 most similar advisory firms, Sbauer Funds has the highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $21.97 million for 1 clients. None of the firm’s clients are foreign persons or businesses.

Sbauer Funds doesn't advise any private funds.

Careers at Sbauer Funds, LLC

The company employs 5 people that are either part- or full-time employees. 60 percent of the employees work as investment advisers or researchers. 2 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
David Sheaff Gilreath	Chief compliance officer	1 Aug 2007	Other	730793
Ronald Robert Brock	Member	1 Aug 2007	Other	1349947
Robert Carl Auer	Portfolio manager	1 Sep 2007	Other	1601735
Ronald Robert Brock	Cheif financial officer	1 Sep 2007	Other	1349947
Llc Sheaff Brock Capital Management	Member	1 Oct 2007	Other	45-4059000
Llc Sheaff Brock Investment Advisors	Member	1 Oct 2007	Other	118739
Llc Auer Funds	Member	1 Dec 2007	75% - 100%	26-3758076
Auer Capital Management	Member	1 Dec 2007	75% - 100%	26-1371688
Audrey Lynn Kurzawa	Chief compliance officer	1 Mar 2019	Other	4347202

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
David Sheaff Gilreath	Owner/member	1 Apr 2012	50% - 75%	730793
Ronald Robert Brock	Owner/member	1 Apr 2012	50% - 75%	1349947

Based in Indianapolis

The principal office where Sbauer Funds, LLC performs its advisory services is located at 8801 River Crossing Blvd., Indianapolis, IN 46240, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 317-814-5000 or by fax 317-705-5110. The normal business hours are 9:30am - 4:00pm on Monday - Friday. You can find more information about the New York firm at sbauerfunds.com.