Wealth manager, independent · Winona Lake, IN
SYM Financial Advisors
SYM Financial Corporation · SEC-registered investment adviser · CRD 107517 · SEC 801-23944
At a glance
SYM Financial Advisors is an SEC-registered investment adviser based in Winona Lake, Indiana, with $5.8B in regulatory assets under management as of its Form ADV filed March 31, 2026. It reports 1,801 individual clients, 848 of them high-net-worth, holding an average of about $2.1 million each, and 84 employees. That ranks it 180th among the nation’s 5,657 independent wealth management RIAs and 4th of 88 in Indiana. It reports 2 custodians for its clients’ separately managed accounts: Charles Schwab and Fidelity.
Main office 800-888-7968sym.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $5.8B
- Rank among independent wealth managers
- #180 of 5,657
- Rank among all SEC RIAs
- #1,907 of 17,210
- Rank in Indiana
- #4 of 88
- Individual clients
- 1,801
- High-net-worth clients
- 848
- Accounts
- 6,673
- Discretionary
- 88% of AUM
- Employees
- 84
- Advisory staff
- 49
- Offices
- 6
Owners and executives on its Form ADV
- Crystal L. AllenChief Compliance Officer
- Jerald W. YeagerChief Executive Officer
- Stephen C. YeagerSenior Financial Advisor
- Rodney S. ColemanPresident
- Robert S. WhickerSenior Financial Advisor
- Andrew L. PopenfooseChief Investment Officer
- Kristin M. BlackChief Financial Officer
Custody and brokerage
Broker-dealer
No broker-dealer ties
SYM Financial Advisors reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 848 | $3.4B | 58% |
| Pension and profit sharing plans | 128 | $1.1B | 20% |
| Charitable organizations | 10 | $815M | 14% |
| Individuals | 953 | $416M | 7% |
| Corporations or other businesses | 20 | $56M | <1% |
Disciplinary disclosures
SYM Financial Advisors 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
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗sym.com ↗
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The full record on SYM Financial Advisors
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 713 peers of its type and size
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- Owners and executives, with titles and stakes
- 7 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 1Locked
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 |
|---|---|---|
| Oxford Financial Group, LTDCarmel | $23B | 589 |
| Sapient Capital LLCIndianapolis | $14B | 980 |
| Valeo Financial Advisors, LLCCarmel | $13B | 3,021 |
| CX Institutional, LLCAuburn | $4.5B | 4,553 |
| Creative Financial Designs, Inc.Kokomo | $2.9B | 10,477 |
| Bedel Financial Consulting IncIndianapolis | $2.9B | 1,162 |
Background
Questions
How much does SYM Financial Advisors manage?
SYM Financial Advisors reports $5.8B in regulatory assets under management across 6,673 accounts, 88% of it on a discretionary basis, on its Form ADV filed March 31, 2026.
How many clients does SYM Financial Advisors have?
It reports 1,801 individual clients: 848 high-net-worth individuals and 953 other individuals. Individuals account for about 65% of its regulatory assets.
Where is SYM Financial Advisors headquartered?
Its main office is in Winona Lake, Indiana. It reports 6 offices in total and 84 employees, 49 of whom perform investment advisory functions.
How does SYM Financial Advisors 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 SYM Financial Advisors use?
It reports 2 custodians for its clients’ separately managed accounts: Charles Schwab and Fidelity. On Schedule D of its Form ADV filed March 31, 2026, it reports these amounts held: Charles Schwab ($4.0B); Fidelity ($1.1B). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is SYM Financial Advisors a hybrid RIA with a broker-dealer?
SYM Financial Advisors reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Is SYM Financial Advisors a fiduciary?
As an SEC-registered investment adviser, SYM Financial Advisors 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 SYM Financial Advisors’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 (2026-03-31), 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 →