Pettinga Financial Advisors provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, selecting other managers, education planning, estate planning, and insurance. Financial planning was provided to 11–25 clients last fiscal year.
Pettinga Financial Advisors reports 712 clients. They include 411 individual clients, 257 high-net-worth individuals, and 22 corporations and other businesses. Of its assets, 98.1% ($1.25B across 2,193 accounts) are managed with discretion; $24.5M across 74 accounts are not.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 58% | 14% |
| High-net-worth individuals | 36% | 70% |
| Pension and profit-sharing plans | 1% | 8% |
| Charitable organizations | 2% | 2% |
| Corporations and other businesses | 3% | 6% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 411 | $177M | 13.8% | $430K |
| High-net-worth individuals | 257 | $896M | 70.2% | $3.49M |
| Pension and profit-sharing plans | 9 | $98.5M | 7.7% | $10.9M |
| Charitable organizations | 13 | $26.2M | 2.1% | $2.01M |
| Corporations and other businesses | 22 | $78.5M | 6.2% | $3.57M |
| Total | 712 | $1.28B | 100% | $1.79M |
- Clients
- 411
- Regulatory AUM
- $177M
- AUM share
- 13.8%
- Avg. per client
- $430K
- Clients
- 257
- Regulatory AUM
- $896M
- AUM share
- 70.2%
- Avg. per client
- $3.49M
- Clients
- 9
- Regulatory AUM
- $98.5M
- AUM share
- 7.7%
- Avg. per client
- $10.9M
- Clients
- 13
- Regulatory AUM
- $26.2M
- AUM share
- 2.1%
- Avg. per client
- $2.01M
- Clients
- 22
- Regulatory AUM
- $78.5M
- AUM share
- 6.2%
- Avg. per client
- $3.57M
Total
- Clients
- 712
- Regulatory AUM
- $1.28B
- AUM share
- 100%
- Avg. per client
- $1.79M
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 11–25
Pettinga Financial Advisors charges 0.40%–1.00% for its Investment management service fees. The brochure does not state whether the rate is annual. Each asset band is charged at its own rate. The fee is billed in arrears and is negotiable. The brochure also prices one other service, listed under fee details.
| Asset band | Rate (period not stated) |
|---|---|
| $0–$1M | 1.00% |
| $1M–$3M | 0.80% |
| $3M–$5M | 0.60% |
| $5M and above | 0.40% |
Fee details and sources
Other fees
- Financial planning
- Basic financial planning is included at no extra cost to investment management clients. More complex planning is billed a separate fee set out in the engagement letter.
Focus Operating, LLC owns 75% or more of Pettinga Financial Advisors. The leadership team of Pettinga Financial Advisors includes President Tonya Borders. It has 11 employees, 7 of them in advisory roles.
Leadership
- Tonya BordersPresident/CEO/COO/CFO/CCO
- Brian GoebelSenior Vice President/CIO
- Matthew VolkmanSenior Vice President
Investment adviser representatives
8 representatives listed in the SEC register as of 9 October 2026.
- Tonya Faye Borders
- Seth Edmund Cissna
- Brian Jay Goebel
- Joel Scott Mullins
- Mark Victor Pettinga
- Addison D Volkman
- Austin L Volkman
- Matthew Edward Volkman
Staff
- 11 employees
- 7 in advisory functions
- 7 state-registered reps
- Owns 75% or more of Pettinga Financial Advisors, LLC
Focus Operating, LLC
Control person · since December 2010
- Owns 75% or more of Pettinga Financial Advisors, LLC
Focus Financial Partners Inc.
Control person · since July 2018
- Owns 75% or more of Focus Financial Partners Inc.
Ferdinand FFP Acquisition, LLC
Control person · since August 2023
- Owns 75% or more of Ferdinand FFP Acquisition, LLC
Ferdinand FFP Intermediate Holdings, LLC
Control person · since August 2023
- Owns 75% or more of Ferdinand FFP Intermediate Holdings, LLC
Ferdinand FFP Parent, Inc.
Control person · since August 2023
- Owns 75% or more of Focus Financial Partners Inc.
Ferdinand FFP Ultimate Holdings, LP
Control person · since August 2023
- Owns 50% to 75% of Ferdinand FFP Ultimate Holdings, LP
CD&R Ferdinand Holdings, L.P.
Control person · since August 2023
- Owns 50% to 75% of CD&R Ferdinand Holdings, L.P.
Clayton, Dubilier & Rice Fund Xii, L.P.
Control person · since August 2023
- Owns 25% to 50% of CD&R Ferdinand Holdings, L.P.
CD&R Ferdinand Co-Investor, L.P.
Control person · since August 2023
Pettinga Financial Advisors’ regulatory assets grew from $944M (April 2021) to $1.28B (June 2026); clients rose from 604 to 712 and employees from 9 to 11.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| June 2026 | $1.28B | 712 | 11 | 2 |
| April 2025 | $1.11B | 674 | 12 | 2 |
| March 2024 | $1B | 649 | 10 | 2 |
| March 2023 | $867M | 628 | 10 | 2 |
| March 2022 | $966M | 614 | 10 | 2 |
| April 2021 | $944M | 604 | 9 | 2 |
Besides its headquarters, Pettinga Financial Advisors has 1 office (1 private residence, listed without an address), with 1 listed address in Indiana.
Indiana · 1 listed address
- 215 NW Martin Luther King JR BLVD, EvansvilleHQ
Contact and registration details
- Legal name
- Pettinga Financial Advisors, LLC
- Headquarters
- 215 NW Martin Luther King JR BLVD, Evansville, IN 47708
- Website
- pettinga.com
- Phone
- 812-436-4000
- @pettinga-financial-advisors
- SEC file
- 801-72154
- Structure
- Delaware LLC
- Fiscal year end
- December
Pettinga Financial Advisors uses Charles Schwab ($987M, 87%) and Fidelity ($144M, 13%) as custodians for its separately managed accounts. Pettinga Financial Advisors has custody of $55.5M in client assets for 60 clients.
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $987M87%
- FidelityNational Financial Services LLC · Boston, MA · $144M13%
At year end, Pettinga Financial Advisors’ separately managed accounts were mostly in funds (80%) and bonds (10%). Its reported 13F holdings for the quarter ended 30 June 2026 total $624M across 156 positions; the largest are iShares TR (10.2%), Blackrock ETF Trust (6.3%) and iShares TR (5.6%).
What the accounts hold
- Stocks8%
- Funds80%
- Registered funds77%
- Pooled vehicles3%
- Bonds10%
- U.S. government and agency bonds6%
- State and local bonds3%
- Investment grade corporate bonds1%
- Cash3%
Reported 13F holdings
- $624M
- Reported 13F value
- 156
- Positions
- 47.5%
- In the 10 largest
- +17.5%
- Value vs. prior quarter
- iShares TR · Core S&P500 ETF10.2%
- Blackrock ETF Trust · Isha IN Ctry ETF6.3%
- iShares TR · S&P 500 Grwt ETF5.6%
- iShares TR · U S Equity Factr4.9%
- iShares TR · S&P 500 Val ETF4.4%
- State Str SPDR S&P 500 ETF T · TR Unit3.8%
- Invesco Exchange Traded FD T · Rafi US 1000 ETF3.7%
- iShares TR · US Treas BD ETF3.1%
- SPDR Gold TR · Gold Shs3.0%
- iShares TR · U.S. Tech ETF2.5%
Together, the ten largest are 47.5% of reported value.
How many clients does Pettinga Financial Advisors have?
Pettinga Financial Advisors has 712 clients and manages $1.28 billion for them, as of June 2026. They include 411 individual clients, 257 high-net-worth individuals, and 22 corporations and other businesses.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 11 June 2026
What services does Pettinga Financial Advisors offer?
Pettinga Financial Advisors provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, selecting other managers, education planning, estate planning, and insurance.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
How much does Pettinga Financial Advisors charge?
Pettinga Financial Advisors charges 0.40%–1.00% for its Investment management service fees. The brochure does not state whether the rate is annual. Each asset band is charged at its own rate. The fee is billed in arrears and is negotiable.
Source: PETTINGA FINANCIAL ADVISORS, LLC - FORM ADV PART 2A - MARCH 30, 2026, filed 30 March 2026
Which custodians does Pettinga Financial Advisors use?
Pettinga Financial Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $987M and National Financial Services LLC (Boston, MA), with $144M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 11 June 2026
How many financial advisors does Pettinga Financial Advisors have?
Pettinga Financial Advisors has 7 investment adviser representatives registered with state securities authorities, out of 11 employees, and 7 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
What does Pettinga Financial Advisors invest in?
At the end of its last fiscal year, Pettinga Financial Advisors’ separately managed accounts held 77% registered funds (mutual funds, ETFs, BDCs), 8% exchange-traded equities, 6% U.S. government and agency bonds, 3% state and local bonds, 3% pooled vehicles (private funds and similar), 3% cash and equivalents and 1% investment grade corporate bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Pettinga Financial Advisors?
Pettinga Financial Advisors is owned through a chain of holding companies by Ferdinand FFP Parent, Inc., CD&R Ferdinand Co-Investor, L.P. and Clayton, Dubilier & Rice Fund Xii, L.P. Its direct owners are Focus Operating, LLC (75% or more) and Focus Financial Partners Inc. (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 11 June 2026
How does Pettinga Financial Advisors get paid?
Pettinga Financial Advisors 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
Is Pettinga Financial Advisors registered with the SEC?
Yes, Pettinga Financial Advisors has been registered with the SEC as an investment adviser since 11 February 2011. Its CRD number is 156369 and its SEC file number is 801-72154.
Source: Form ADV Part 1A, Item 1, filed 11 June 2026; IAPD firm record
How do I contact Pettinga Financial Advisors?
Pettinga Financial Advisors’ main office is at 215 NW Martin Luther King JR BLVD, Evansville, IN 47708. Its phone number is 812-436-4000. Its website is pettinga.com.