← Tributary

DAVID P. GILLIAM & ASSOCIATES, INC.

MUNCIE, IN · CRD 285515 · IAPD ↗ · 765-281-0012

$186.7MRegulatory AUM
3Advisory reps
3Employees
0Clients
0Planning clients
0Private funds
5States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

60
October 2026 — DAVID P. GILLIAM & ASSOCIATES, INC. (MUNCIE, IN) left the SEC roster (was $186.7M RAUM, 3 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
65
April 2026 — DAVID P. GILLIAM & ASSOCIATES, INC. now reports custody of client assets ($67.4M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
60
March 2025 — DAVID P. GILLIAM & ASSOCIATES, INC. began participating in a wrap-fee program.
Firm began participating in a wrap-fee program (Item 5I(1)).
Portfolio / reporting / TAMPCompliance
60
March 2024 — DAVID P. GILLIAM & ASSOCIATES, INC. reported RAUM up 26% ($108.1M -> $136.7M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

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