Wealth manager, independent · Evansville, IN
Pettinga Financial Advisors, LLC
SEC-registered investment adviser · CRD 156369 · SEC 801-72154
At a glance
Pettinga Financial Advisors, LLC is an SEC-registered investment adviser based in Evansville, Indiana, with $1.3B in regulatory assets under management as of its Form ADV filed June 11, 2026. It reports 668 individual clients, 257 of them high-net-worth, holding an average of about $1.6 million each, and 11 employees. That ranks it 863rd among the nation’s 5,657 independent wealth management RIAs and 14th of 88 in Indiana. It reports 2 custodians for its clients’ separately managed accounts: Charles Schwab and Fidelity.
Main office 812-436-4000pettinga.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.3B
- Rank among independent wealth managers
- #863 of 5,657
- Rank among all SEC RIAs
- #4,693 of 17,210
- Rank in Indiana
- #14 of 88
- Individual clients
- 668
- High-net-worth clients
- 257
- Accounts
- 2,267
- Discretionary
- 98% of AUM
- Employees
- 11
- Advisory staff
- 7
- Offices
- 2
Owners and executives on its Form ADV
- Matthew E. VolkmanSenior Vice President
- Brian J. GoebelSenior Vice President/cio
- Tonya F. BordersPresident/ceo/coo/cfo/cco
Custody and brokerage
Broker-dealer
Affiliated broker-dealer
It reports a broker-dealer among its affiliates on Form ADV.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 257 | $896M | 70% |
| Individuals | 411 | $177M | 14% |
| Pension and profit sharing plans | 9 | $98M | 8% |
| Corporations or other businesses | 22 | $79M | 6% |
| Charitable organizations | 13 | $26M | 2% |
Disciplinary disclosures
Pettinga Financial Advisors, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗pettinga.com ↗
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The full record on Pettinga Financial Advisors, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 2,882 peers of its type and size
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- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Similar-size RIAs in Indiana
All of Indiana →| Firm | Regulatory AUM | Clients |
|---|---|---|
| LJI Wealth Management, LLCIndianapolis | $1.4B | 1,490 |
| Wealth Advisors GroupFort Wayne | $1.3B | 1,013 |
| Wallington Asset ManagementIndianapolis | $1.3B | 306 |
| DeerfieldIndianapolis | $1.2B | 310 |
| Corevision Financial GroupShelbyville | $1.2B | 1,290 |
| Korhorn Financial GroupGranger | $1.2B | 2,303 |
Background
Questions
How much does Pettinga Financial Advisors, LLC manage?
Pettinga Financial Advisors, LLC reports $1.3B in regulatory assets under management across 2,267 accounts, 98% of it on a discretionary basis, on its Form ADV filed June 11, 2026.
How many clients does Pettinga Financial Advisors, LLC have?
It reports 668 individual clients: 257 high-net-worth individuals and 411 other individuals. Individuals account for about 84% of its regulatory assets.
Where is Pettinga Financial Advisors, LLC headquartered?
Its main office is in Evansville, Indiana. It reports 2 offices in total and 11 employees, 7 of whom perform investment advisory functions.
How does Pettinga Financial Advisors, LLC charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; fixed fees. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Pettinga Financial Advisors, LLC use?
It reports 2 custodians for its clients’ separately managed accounts: Charles Schwab and Fidelity. On Schedule D of its Form ADV filed June 11, 2026, it reports these amounts held: Charles Schwab ($987M); Fidelity ($144M). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Pettinga Financial Advisors, LLC a hybrid RIA with a broker-dealer?
It reports a broker-dealer among its affiliates on Form ADV.
Is Pettinga Financial Advisors, LLC a fiduciary?
As an SEC-registered investment adviser, Pettinga Financial Advisors, LLC owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. It reports no employees who are registered representatives of a broker-dealer.
Where these numbers come from
Every figure is Pettinga Financial Advisors, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-06-11), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →