{"url":"https://nivawealth.com/firms/gimbal-financial-159003","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/159003","regulatoryAum":290012610,"crd":"159003","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4744380","suffix":"JR.","lastName":"BYERS","firstName":"PHILIP","middleName":"ALLAN"},{"crd":"6698516","suffix":null,"lastName":"HINEMAN","firstName":"AMANDA","middleName":"KRISTINE"},{"crd":"4331747","suffix":null,"lastName":"RITZ","firstName":"ELIZABETH","middleName":"MARIE"},{"crd":"3159316","suffix":null,"lastName":"SHRIEVE","firstName":"DOUGLAS","middleName":"ALLEN"},{"crd":"8057464","suffix":null,"lastName":"Tyner","firstName":"Caleb","middleName":"A"},{"crd":"1542622","suffix":null,"lastName":"TYNER","firstName":"KEITH","middleName":"ALAN"}],"total":6,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-09","regulatoryAum":109538970,"clients":286,"employees":4,"offices":1},{"filedOn":"2022-07-07","regulatoryAum":124297453,"clients":341,"employees":5,"offices":1},{"filedOn":"2023-03-29","regulatoryAum":135017935,"clients":300,"employees":5,"offices":1},{"filedOn":"2024-03-25","regulatoryAum":209702458,"clients":345,"employees":5,"offices":1},{"filedOn":"2025-03-28","regulatoryAum":253177785,"clients":367,"employees":6,"offices":1},{"filedOn":"2026-03-05","regulatoryAum":290012610,"clients":388,"employees":6,"offices":1}],"secFileNumber":"801-110875","legalName":"Gimbal Financial, LLC","displayName":"Gimbal Financial","slug":"gimbal-financial-159003","website":"https://gimbalfinancial.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Indiana limited liability company","fiscalYearEnd":"December","headquarters":{"street":"620 N. 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Also Advises on One Variable Annuity Held at Lincoln Financial Group With A Year-End Value of $1,282,533."}],"privateFunds":0},"sources":{"adv1FilingDate":"5 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/159003/PDF/159003.pdf","brochureDate":"5 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1015159","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Gimbal Financial have?","answer":"Gimbal Financial has 388 clients and manages $290 million for them, as of March 2026. They include 274 individual clients, 106 high-net-worth individuals, and 4 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 5 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Gimbal Financial offer?","answer":"Gimbal Financial provides portfolio management for individuals and small businesses, pension consulting, and insurance.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Gimbal Financial charge?","answer":"Gimbal Financial charges 0.90%–1.25% a year for its Wrap Program. The fee is billed in arrears and is negotiable.","source":"2026 GIMBAL FINANCIAL FORM ADV, filed 5 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Gimbal Financial use?","answer":"Gimbal Financial’s separately managed account assets are held at National Financial Services LLC (Boston, MA), with $244M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 5 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Gimbal Financial have?","answer":"Gimbal Financial has 4 investment adviser representatives registered with state securities authorities, out of 6 employees, and 4 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 3 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Gimbal Financial invest in?","answer":"At the end of its last fiscal year, Gimbal Financial’s separately managed accounts held 59% registered funds (mutual funds, ETFs, BDCs), 25% cash and equivalents, 13% exchange-traded equities and 3% other. The 3% other category is described as: Less Than 1 Percent Are in Pooled Investments and US State and Local Bonds. Also Advises on One Variable Annuity Held at Lincoln Financial Group With A Year-End Value of $1,282,533.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Gimbal Financial?","answer":"Gimbal Financial’s direct owners are Keith Tyner (50% to 75%) and Douglas Shrieve (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 5 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Gimbal Financial get paid?","answer":"Gimbal Financial is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Gimbal Financial registered with the SEC?","answer":"Yes, Gimbal Financial has been registered with the SEC as an investment adviser since 24 July 2017. Its CRD number is 159003 and its SEC file number is 801-110875.","source":"Form ADV Part 1A, Item 1, filed 5 March 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Gimbal Financial?","answer":"Gimbal Financial’s main office is at 620 N. Rangeline Road, Carmel, IN 46032. Its phone number is 317-578-1600. 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Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}