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GOELZER INVESTMENT MANAGEMENT

CARMEL, IN · CRD 44402 · IAPD ↗ · 317-264-2600

$4.51BRegulatory AUM
22Advisory reps
34Employees
10Clients
101-250Planning clients
0Private funds
20States
1Disclosures
wealthSegment
ApprovedSEC status

Filing changes

47
April 2026 — GOELZER INVESTMENT MANAGEMENT notice-filed in NH.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
April 2026 — GOELZER INVESTMENT MANAGEMENT's Item 11 disclosure-reporting entries rose by 1 (0 -> 1).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
April 2026 — GOELZER INVESTMENT MANAGEMENT shrank from 28 to 22 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
49
December 2025 — GOELZER INVESTMENT MANAGEMENT notice-filed in KY, NC.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
April 2025 — GOELZER INVESTMENT MANAGEMENT shrank from 36 to 28 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
55
April 2025 — GOELZER INVESTMENT MANAGEMENT notice-filed in IL, MA, MD, MI, SC.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
63
April 2025 — GOELZER INVESTMENT MANAGEMENT reports 101-250 financial-planning clients, up from 51-100.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
50
December 2024 — GOELZER INVESTMENT MANAGEMENT moved its main office from INDIANAPOLIS, IN to CARMEL, IN.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
66
April 2024 — GOELZER INVESTMENT MANAGEMENT reported RAUM up 34% ($2.36B -> $3.16B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

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