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SHEAFF BROCK INVESTMENT ADVISORS, LLC

INDIANAPOLIS, IN · CRD 118739 · IAPD ↗ · linkedin.com sheaff brock investment advisors · 317-705-5700

$1.41BRegulatory AUM
18Advisory reps
26Employees
0Clients
26-50Planning clients
0Private funds
53States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

65
December 2025 — SHEAFF BROCK INVESTMENT ADVISORS, LLC (INDIANAPOLIS, IN) left the SEC roster (was $1.41B RAUM, 18 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
63
April 2025 — SHEAFF BROCK INVESTMENT ADVISORS, LLC reports 26-50 financial-planning clients, up from 11-25.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
74
April 2025 — SHEAFF BROCK INVESTMENT ADVISORS, LLC grew from 14 to 18 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
30
April 2024 — SHEAFF BROCK INVESTMENT ADVISORS, LLC changed its website from sheaffbrock.com to linkedin.com sheaff brock investment advisors.
Primary website domain changed (social-media URLs ignored) — usually a rebrand or new site.
Marketing & brand
65
April 2024 — SHEAFF BROCK INVESTMENT ADVISORS, LLC reported RAUM up 29% ($1.05B -> $1.35B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.