{"url":"https://nivawealth.com/firms/greenleaf-financial-group-137933","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/137933","regulatoryAum":175200121,"crd":"137933","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5107049","suffix":null,"lastName":"HARTMAN","firstName":"JENNIFER","middleName":"SUE"},{"crd":"2759014","suffix":null,"lastName":"HARTMAN","firstName":"KATHLEEN","middleName":"ELIZABETH"}],"total":2,"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":"2021-07-12","regulatoryAum":126256942,"clients":118,"employees":2,"offices":2},{"filedOn":"2022-03-15","regulatoryAum":138141357,"clients":120,"employees":2,"offices":2},{"filedOn":"2023-03-16","regulatoryAum":125317887,"clients":120,"employees":2,"offices":2},{"filedOn":"2024-03-15","regulatoryAum":139589295,"clients":119,"employees":2,"offices":2},{"filedOn":"2025-03-05","regulatoryAum":156226772,"clients":119,"employees":2,"offices":2},{"filedOn":"2026-04-01","regulatoryAum":175200121,"clients":123,"employees":2,"offices":2}],"secFileNumber":"801-117775","legalName":"Greenleaf Financial Group, LLC","displayName":"Greenleaf Financial Group","slug":"greenleaf-financial-group-137933","website":"https://greenleaf-fg.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":"13295 Illinois St, Suite 322","city":"Carmel","state":"IN","stateName":"Indiana","country":"United States","postalCode":"46032-3022"},"tradeNames":[],"registration":{"secApproved":"13 December 2019","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1435142.6557377048,"staff":{"employees":2,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":175200121,"discretionary":166287827,"discretionaryAccounts":465,"nonDiscretionary":8912294,"nonDiscretionaryAccounts":30,"wrapProgram":null,"nonUsClientsPct":1,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":59,"regulatoryAum":34864109},{"label":"High-net-worth individuals","clients":63,"regulatoryAum":140223295},{"label":"Charitable organizations","clients":1,"fewerThan5":true,"regulatoryAum":112717}],"feePrograms":[{"role":"main","program":"Investment management fees","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1017803","versionId":1017803,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-03-12","documentName":"GREENLEAF FINANCIAL GROUP ADV PARTS 2A AND 2B MARCH 2026","fee_rate_low":0.4,"fee_rate_high":0.9,"fee_negotiable":null,"minimum_account":500000,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T13:22:01.068104+00:00","documents":[{"name":"GREENLEAF FINANCIAL GROUP ADV PARTS 2A AND 2B MARCH 2026","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1017803","versionId":1017803,"submittedOn":"2026-03-12"}]},"custodians":[],"custodyNote":"Greenleaf Financial Group does not have custody of client assets.","leadership":[{"name":"Kathleen Hartman","title":"Chief Compliance Officer","crd":"2759014"},{"name":"Jennifer Hartman","title":"Managing Member","crd":"5107049"}],"ownership":[{"label":"Kathleen Hartman","detail":"Chief compliance officer in the 50% to 75% ownership band and a control person, since September 2005."},{"label":"Jennifer Hartman","detail":"Managing member in the 50% to 75% ownership band and a control person, since March 2006."}],"filedOffices":{"otherThanPrincipal":1,"privateResidences":1},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Indiana","offices":1,"addresses":[{"street":"13295 Illinois St, Suite 322","city":"Carmel","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"317-993-3384","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":4},{"label":"Securities issued by registered investment companies or business development companies","percent":94},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"1 April 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/137933/PDF/137933.pdf","brochureDate":"12 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1017803","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 Greenleaf Financial Group have?","answer":"Greenleaf Financial Group has 123 clients and manages $175 million for them, as of April 2026. They include 63 high-net-worth individuals, 59 individual clients and 1 charitable organization.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 1 April 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Greenleaf Financial Group offer?","answer":"Greenleaf Financial Group provides portfolio management for individuals and small businesses.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Greenleaf Financial Group charge?","answer":"Greenleaf Financial Group charges 0.40%–0.90% a year for its Investment management fees. The fee is billed in arrears and requires an account of at least $500,000.","source":"GREENLEAF FINANCIAL GROUP ADV PARTS 2A AND 2B MARCH 2026, filed 12 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"How many financial advisors does Greenleaf Financial Group have?","answer":"Greenleaf Financial Group has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 perform investment advisory functions. None are registered representatives of a broker-dealer or 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 Greenleaf Financial Group invest in?","answer":"At the end of its last fiscal year, Greenleaf Financial Group’s separately managed accounts held 94% registered funds (mutual funds, ETFs, BDCs), 4% exchange-traded equities and 2% cash and equivalents.","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":"Does Greenleaf Financial Group have a minimum investment?","answer":"Yes, Greenleaf Financial Group’s minimum account size for its Investment management fees is $500K.","source":"GREENLEAF FINANCIAL GROUP ADV PARTS 2A AND 2B MARCH 2026, filed 12 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Greenleaf Financial Group?","answer":"Greenleaf Financial Group’s direct owners are Kathleen Hartman (50% to 75%) and Jennifer Hartman (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 1 April 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Greenleaf Financial Group get paid?","answer":"Greenleaf Financial Group is paid through a percentage of assets under management and fixed fees. 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 Greenleaf Financial Group registered with the SEC?","answer":"Yes, Greenleaf Financial Group has been registered with the SEC as an investment adviser since 13 December 2019. Its CRD number is 137933 and its SEC file number is 801-117775.","source":"Form ADV Part 1A, Item 1, filed 1 April 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Greenleaf Financial Group?","answer":"Greenleaf Financial Group’s main office is at 13295 Illinois St, Suite 322, Carmel, IN 46032-3022. Its phone number is 317-993-3384. Its website is greenleaf-fg.com.","source":"Form ADV Part 1A, Item 1.F, filed 1 April 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. 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."}