{"url":"https://nivawealth.com/firms/gudorf-financial-group-339836","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/339836","regulatoryAum":121130421,"crd":"339836","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6011685","suffix":null,"lastName":"GUDORF","firstName":"DANIEL","middleName":"M."},{"crd":"7326281","suffix":null,"lastName":"Szkody","firstName":"Allison","middleName":"Marie"}],"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"},"secFileNumber":"801-135186","legalName":"Gudorf Financial Group, LLC","displayName":"Gudorf Financial Group","slug":"gudorf-financial-group-339836","website":"https://gudorffinancial.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/339836/25d9ae4293080675-r1.webp","tone":"light","width":941,"height":200,"sourceUrl":"https://gudorffinancial.com/","sourceLabel":"Gudorf Financial Group, LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/gudorf-financial-group-llc/","founded":null,"organization":"Ohio limited liability company","fiscalYearEnd":"December","headquarters":{"street":"8145 North Main Street","city":"Dayton","state":"OH","stateName":"Ohio","country":"United States","postalCode":"45415"},"tradeNames":[],"registration":{"secApproved":"30 January 2026","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1160526.8932038834,"staff":{"employees":4,"advisory":2,"brokerDealerReps":0,"insuranceAgents":2,"promoters":0},"aum":{"regulatory":121130421,"discretionary":120919653,"discretionaryAccounts":231,"nonDiscretionary":210768,"nonDiscretionaryAccounts":11,"wrapProgram":121130421,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":65,"regulatoryAum":21829631},{"label":"High-net-worth individuals","clients":38,"regulatoryAum":97704639},{"label":"Pension and profit-sharing plans","clients":null,"fewerThan5":true,"regulatoryAum":1596151}],"feePrograms":[{"role":"main","program":"Wealth Management Services","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1055690","versionId":1055690,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-08-21","documentName":"GUDORF FINANCIAL GROUP, LLC DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS","fee_rate_low":0.75,"fee_rate_high":1.5,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Retirement Plan Advisory Services","summary":"Retirement plan advisory fees are an annual asset-based fee of up to 1.50%, billed monthly or quarterly in advance or arrears.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1055690","versionId":1055690,"submittedOn":"2026-08-21","documentName":"GUDORF FINANCIAL GROUP, LLC DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T18:13:08.967132+00:00","documents":[{"name":"GUDORF FINANCIAL GROUP, LLC DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1055690","versionId":1055690,"submittedOn":"2026-08-21"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":121130421}],"custodyNote":"Gudorf Financial Group does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Daniel Gudorf","title":"Founder, Chief Executive Officer, and Chief Compliance Officer","crd":"6011685"}],"ownership":[{"label":"Daniel Gudorf","detail":"Founder, chief executive officer, and chief compliance officer in the 75% or more ownership band and a control person, since December 2025."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Ohio","offices":1,"addresses":[{"street":"8145 North Main Street","city":"Dayton","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"937-898-5430","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":69},{"label":"U.S. government/agency bonds","percent":1},{"label":"U.S. state and local bonds","percent":1},{"label":"Investment grade corporate bonds","percent":18},{"label":"Cash and cash equivalents","percent":11}],"privateFunds":0},"sources":{"adv1FilingDate":"21 August 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/339836/PDF/339836.pdf","brochureDate":"21 August 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1055690","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 Gudorf Financial Group have?","answer":"Gudorf Financial Group has 103 clients and manages $121 million for them, as of August 2026. They include 65 individual clients and 38 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 21 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Gudorf Financial Group offer?","answer":"Gudorf Financial Group provides financial planning, portfolio management for individuals and small businesses, and pension consulting.","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 Gudorf Financial Group charge?","answer":"Gudorf Financial Group charges 0.75%–1.50% a year for its Wealth Management Services. The fee is billed in arrears and is negotiable.","source":"GUDORF FINANCIAL GROUP, LLC DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS, filed 21 August 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Gudorf Financial Group use?","answer":"Gudorf Financial Group’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $121M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 21 August 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Gudorf Financial Group have?","answer":"Gudorf Financial Group has 2 investment adviser representatives registered with state securities authorities, out of 4 employees, and 2 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 2 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 Gudorf Financial Group invest in?","answer":"At the end of its last fiscal year, Gudorf Financial Group’s separately managed accounts held 69% exchange-traded equities, 18% investment grade corporate bonds, 11% cash and equivalents, 1% U.S. government and agency bonds and 1% state and local bonds.","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 Gudorf Financial Group?","answer":"Gudorf Financial Group’s direct owner is Daniel Gudorf (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 21 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Gudorf Financial Group get paid?","answer":"Gudorf Financial Group 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":"How do I contact Gudorf Financial Group?","answer":"Gudorf Financial Group’s main office is at 8145 North Main Street, Dayton, OH 45415. Its phone number is 937-898-5430. Its website is gudorffinancial.com.","source":"Form ADV Part 1A, Item 1.F, filed 21 August 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."}