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VISTA INVESTMENT PARTNERS

RICHMOND, IN · CRD 327983 · IAPD ↗ · vistainvestment.net · 765-962-5153

$383.1MRegulatory AUM
6Advisory reps
12Employees
10Clients
1-10Planning clients
0Private funds
12States
2Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
October 2026 — VISTA INVESTMENT PARTNERS notice-filed in LA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
April 2026 — VISTA INVESTMENT PARTNERS notice-filed in MN.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
April 2026 — VISTA INVESTMENT PARTNERS added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
61
April 2025 — VISTA INVESTMENT PARTNERS reports 1-10 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
63
April 2025 — VISTA INVESTMENT PARTNERS reported RAUM up 29% ($249.6M -> $321.8M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
44
March 2025 — VISTA INVESTMENT PARTNERS notice-filed in CA, MO.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
50
June 2024 — VISTA INVESTMENT PARTNERS's Item 11 disclosure-reporting entries rose by 2 (0 -> 2).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
50
February 2024 — VISTA INVESTMENT PARTNERS notice-filed in CO, FL, IL, OH, TN, TX.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
65
February 2024 — VISTA INVESTMENT PARTNERS now reports custody of client assets ($36.9M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
70
February 2024 — VISTA INVESTMENT PARTNERS's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP

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