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MINDSET WEALTH MANAGEMENT, LLC

INDIANAPOLIS, IN · CRD 330384 · IAPD ↗ · mindsetwealthmanagement.com · 317-348-4655

$445.5MRegulatory AUM
4Advisory reps
4Employees
0Clients
101-250Planning clients
0Private funds
6States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
August 2026 — MINDSET WEALTH MANAGEMENT, LLC notice-filed in PA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
65
March 2026 — MINDSET WEALTH MANAGEMENT, LLC reported RAUM up 38% ($323.4M -> $445.5M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
67
March 2026 — MINDSET WEALTH MANAGEMENT, LLC reports 101-250 financial-planning clients, up from 11-25.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
68
March 2026 — MINDSET WEALTH MANAGEMENT, LLC now reports custody of client assets ($53.5M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
64
April 2025 — MINDSET WEALTH MANAGEMENT, LLC reports 11-25 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
69
April 2025 — MINDSET WEALTH MANAGEMENT, LLC reported RAUM up 57% ($205.7M -> $323.4M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
45
August 2024 — MINDSET WEALTH MANAGEMENT, LLC moved its main office from FISHERS, IN to INDIANAPOLIS, IN.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
48
June 2024 — MINDSET WEALTH MANAGEMENT, LLC notice-filed in CO, IL, LA, TX.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
70
June 2024 — MINDSET WEALTH MANAGEMENT, LLC's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
95
April 2024 — MINDSET WEALTH MANAGEMENT, LLC (FISHERS, IN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

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