Sheaff Brock Investment Advisors, LLC is a large advisory firm based in Indianapolis. It manages $845.96 million of regulatory assets for 1,030 client accounts. It has been registered with the SEC as an adviser since 2002 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 49 other states.
Sheaff Brock Investment Advisors provides financial planning services and portfolio management for individuals and small businesses. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.
The assets under management (AUM) of Sheaff Brock Investment Advisors, LLC is $845.96 million. The firm's AUM has grown by 1028% since the beginning of its operation, and $33.86 thousand of the total AUM is attributable to clients outside of the United States.
The advisory firm has a single stream of revenue. Clients pay Sheaff Brock Investment Advisors, LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.
The firm provides services to individuals, charitable organizations, high net worth individuals, and corporations or other businesses. The largest group of clients of Sheaff Brock Investment Advisors is high net worth individuals with 215 clients and $508.23 million of assets under management. Among the 9 most similar advisory firms, Sheaff Brock Investment Advisors has the 4th highest percentage of high net worth individuals out of all clients.
The amount of regulatory assets under management is $845.81 million for 1,029 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.
Sheaff Brock Investment Advisors doesn't advise any private funds.
The company employs 28 people that are either part- or full-time employees. 61 percent of the employees work as investment advisers or researchers. 21 employees are registered as investment adviser representatives with the state securities authorities.
There’s a single person with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.
The principal office where Sheaff Brock Investment Advisors, LLC performs its advisory services is located at 8801 River Crossing Blvd, Indianapolis, IN 46240, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.
You can reach the main office by calling the phone number 317-705-5700 or by fax 317-705-5110. The normal business hours are 8:30am - 5pm on Monday - Friday. You can find more information about the New York firm at sheaffbrock.com.