{"url":"https://nivawealth.com/firms/hinds-financial-group-129971","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/129971","regulatoryAum":536898649,"crd":"129971","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1035445","suffix":null,"lastName":"CIARLELLI","firstName":"CRAIG","middleName":"STEPHEN"},{"crd":"1049179","suffix":null,"lastName":"DOWNING","firstName":"JOHN","middleName":"CARTER"},{"crd":"1151631","suffix":null,"lastName":"HINDS","firstName":"CYNTHIA","middleName":"KELLEY"},{"crd":"4034111","suffix":null,"lastName":"KELLEY","firstName":"JONATHAN","middleName":"RUSSELL"},{"crd":"6177675","suffix":null,"lastName":"NICHOLSON","firstName":"KEITH","middleName":"EDWARD"},{"crd":"2698798","suffix":null,"lastName":"O`CONNOR","firstName":"MARK","middleName":"EDWARD"}],"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":"2021-06-28","regulatoryAum":351255180,"clients":308,"employees":14,"offices":2},{"filedOn":"2021-12-22","regulatoryAum":399461671,"clients":416,"employees":9,"offices":2},{"filedOn":"2022-12-19","regulatoryAum":365654961,"clients":393,"employees":8,"offices":2},{"filedOn":"2023-11-20","regulatoryAum":421374729,"clients":294,"employees":7,"offices":2},{"filedOn":"2024-12-11","regulatoryAum":496088506,"clients":299,"employees":8,"offices":2},{"filedOn":"2025-12-02","regulatoryAum":536898649,"clients":298,"employees":10,"offices":2}],"secFileNumber":"801-62684","legalName":"Hinds Financial Group Inc","displayName":"Hinds Financial Group","slug":"hinds-financial-group-129971","website":"https://cccandc.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":"2004","organization":"Colorado corporation","fiscalYearEnd":"September","headquarters":{"street":"141 Union BLVD., Suite 350","city":"Lakewood","state":"CO","stateName":"Colorado","country":"United States","postalCode":"80228"},"tradeNames":[],"registration":{"secApproved":"16 January 2004","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1800817.5268456375,"staff":{"employees":10,"advisory":5,"brokerDealerReps":9,"insuranceAgents":8,"promoters":0},"aum":{"regulatory":536898649,"discretionary":525524087,"discretionaryAccounts":614,"nonDiscretionary":11374562,"nonDiscretionaryAccounts":15,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":162,"regulatoryAum":71030957},{"label":"High-net-worth individuals","clients":136,"regulatoryAum":465612666},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":255026}],"feePrograms":[{"role":"main","program":"Asset management and plan implementation 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GROUP INC ADV BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T08:57:53.059058+00:00","documents":[{"name":"HINDS FINANCIAL GROUP INC ADV BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=997483","versionId":997483,"submittedOn":"2025-12-02"}]},"custodians":[{"name":"Pershing LLC","shortName":"Pershing","location":"Jersey City, NJ","smaAssets":529084743}],"custodyNote":"Hinds Financial Group does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Jonathan Kelley","title":"President & Chief Compliance Officer","crd":"4034111"},{"name":"Cynthia Hinds","title":"Secretary/Advisor/Partner","crd":"1151631"}],"ownership":[{"label":"Cynthia Hinds","detail":"Secretary/advisor/partner in the 25% to 50% ownership band and a control person, since December 2003."},{"label":"Jonathan Kelley","detail":"President & chief compliance officer in the 25% to 50% ownership band and a control person, since December 2003."},{"label":"Platteview Irrevocable Trust","detail":"Owner in the 10% to 25% ownership band, since June 2023."},{"label":"Steven Paris","detail":"Indirect owner: trustee of Platteview Irrevocable Trust and a control person, since June 2023.","parent":"Platteview Irrevocable Trust"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":1},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Colorado","offices":1,"addresses":[{"street":"141 Union BLVD., Suite 350","city":"Lakewood","headquarters":true}]}],"brochureServices":["business succession planning","education planning","estate planning","insurance","philanthropic planning","retirement plan services","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"303-985-9889","stateRegisteredReps":5,"otherAdviserReps":6,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":"251-500","assetMix":[{"label":"Exchange-traded equity securities","percent":6},{"label":"U.S. government/agency bonds","percent":1},{"label":"U.S. state and local bonds","percent":16},{"label":"Securities issued by registered investment companies or business development companies","percent":73},{"label":"Cash and cash equivalents","percent":4}],"privateFunds":0},"sources":{"adv1FilingDate":"2 December 2025","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/129971/PDF/129971.pdf","brochureDate":"2 December 2025","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=997483","iapdCompiledDate":null,"retrievedDate":"15 October 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They include 162 individual clients and 136 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 2 December 2025","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Hinds Financial Group offer?","answer":"Hinds Financial Group provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, business succession planning, education planning, estate planning, insurance, philanthropic planning, retirement plan services, and tax planning.","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 Hinds Financial Group charge?","answer":"Hinds Financial Group charges 0.66%–1.30% a year for its Asset management and plan implementation fees. Each asset band is charged at its own rate. The fee is billed in arrears and is negotiable.","source":"HINDS FINANCIAL GROUP INC ADV BROCHURE, filed 2 December 2025","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Hinds Financial Group use?","answer":"Hinds Financial Group’s separately managed account assets are held at Pershing LLC (Jersey City, NJ), with $529M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 2 December 2025","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Hinds Financial Group have?","answer":"Hinds Financial Group has 5 investment adviser representatives registered with state securities authorities, out of 10 employees, and 5 perform investment advisory functions. 9 employees are registered representatives of a broker-dealer and 8 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 Hinds Financial Group invest in?","answer":"At the end of its last fiscal year, Hinds Financial Group’s separately managed accounts held 73% registered funds (mutual funds, ETFs, BDCs), 16% state and local bonds, 6% exchange-traded equities, 4% cash and equivalents and 1% U.S. government and agency 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 Hinds Financial Group?","answer":"Hinds Financial Group’s direct owners are Cynthia Hinds, Jonathan Kelley and Platteview Irrevocable Trust, each holding 50% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 2 December 2025","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Hinds Financial Group get paid?","answer":"Hinds Financial Group is paid through a percentage of assets under management, hourly charges 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":"How do I contact Hinds Financial Group?","answer":"Hinds Financial Group’s main office is at 141 Union BLVD., Suite 350, Lakewood, CO 80228. Its phone number is 303-985-9889. Its website is cccandc.com.","source":"Form ADV Part 1A, Item 1.F, filed 2 December 2025","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."}