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SPECTRUM WEALTH MANAGEMENT

INDIANAPOLIS, IN · CRD 323651 · IAPD ↗ · 317-663-5600

$1.15BRegulatory AUM
6Advisory reps
12Employees
6Clients
101-250Planning clients
0Private funds
5States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

65
July 2025 — SPECTRUM WEALTH MANAGEMENT (INDIANAPOLIS, IN) left the SEC roster (was $1.15B RAUM, 6 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
55
April 2025 — SPECTRUM WEALTH MANAGEMENT shrank from 8 to 6 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
85
April 2025 — SPECTRUM WEALTH MANAGEMENT crossed $1B in regulatory AUM ($976.4M -> $1.15B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
68
April 2024 — SPECTRUM WEALTH MANAGEMENT now reports custody of client assets ($653.0M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
71
April 2024 — SPECTRUM WEALTH MANAGEMENT grew from 5 to 8 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

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