{
  "crd_number": 298437,
  "slug": "apple-tree-asset-management-llc-fort-wayne-in-298437",
  "primary_business_name": "APPLE TREE ASSET MANAGEMENT, LLC",
  "legal_name": "APPLE TREE ASSET MANAGEMENT, LLC",
  "dbas": [],
  "city": "Fort Wayne",
  "state": "IN",
  "country": "United States",
  "cbsa_code": "23060",
  "metro": {
    "cbsa_code": "23060",
    "common_name": "Fort Wayne",
    "msa_name": "Fort Wayne, IN",
    "path": "/advisors/in/fort-wayne"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2024-07-12",
  "years_registered": 2,
  "period": "2026-10-01",
  "filing_date": "2026-03-26",
  "carried_forward": false,
  "raum_total": 151850105.0,
  "raum_discretionary": 118206639.0,
  "raum_non_discretionary": 33643466.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 7,
  "advisory_employees": 6,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "charitable": {
      "raum": 55125.0,
      "count": null,
      "fewer_than_5": true
    },
    "individuals": {
      "raum": 100968984.0,
      "count": 729
    },
    "high_net_worth_individuals": {
      "raum": 50825996.0,
      "count": 51
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "pension_consulting",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "FL",
    "IN",
    "MI",
    "OH"
  ],
  "websites": [
    "https://appletreefinancialgroup.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/298437",
  "city_as_filed": "FORT WAYNE",
  "url": "https://advisorcensus.com/firm/apple-tree-asset-management-llc-fort-wayne-in-298437",
  "display_name": "Apple Tree Asset Management, LLC",
  "summary": "Apple Tree Asset Management, LLC is an SEC-registered investment advisory firm in Fort Wayne, IN, registered since 2024, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 26, 2026.",
  "citation": "AdvisorCensus. Apple Tree Asset Management, LLC (CRD 298437): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Pension consulting services",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Apple Tree Asset Management, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Apple Tree Asset Management, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)."
    },
    {
      "q": "How much does Apple Tree Asset Management, LLC charge?",
      "a": "Its Form ADV Part 2A brochure dated March 26, 2026 states: Flat fee: $1,000 to $5,000 (comprehensive financial planning); Hourly rate: $250 an hour (financial consulting services); Flat fee: $1,000 to $50,000 a year (Qualified Retirement Plan Consulting). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Apple Tree Asset Management, LLC located?",
      "a": "Apple Tree Asset Management, LLC's principal office is in Fort Wayne, IN, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Apple Tree Asset Management, LLC registered with the SEC or a state?",
      "a": "Apple Tree Asset Management, LLC is an SEC-registered investment advisory firm, registered since 2024. Status as filed: Approved. CRD 298437."
    },
    {
      "q": "How much does Apple Tree Asset Management, LLC manage?",
      "a": "Apple Tree Asset Management, LLC reports $151,850,105 in regulatory assets under management in its Form ADV filing dated March 26, 2026 (78% discretionary)."
    },
    {
      "q": "How have Apple Tree Asset Management, LLC's assets and staff changed since 2024?",
      "a": "In the Form ADV data for Apple Tree Asset Management, LLC: Regulatory assets under management: $115,101,591 in the October 2024 data and $151,850,105 in the October 2026 data, up 32%. Total employees: 6 in October 2024 and 7 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Apple Tree Asset Management, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (729); high net worth individuals (51)."
    },
    {
      "q": "Which custodians does Apple Tree Asset Management, LLC use?",
      "a": "Apple Tree Asset Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Axos Clearing LLC and Charles Schwab & Co., Inc. as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Apple Tree Asset Management, LLC report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/298437"
    },
    {
      "q": "Does Apple Tree Asset Management, LLC state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated March 26, 2026 says: \"We offer our services to individuals, high net worth individuals, charities, corporations and other business entities, and pension and profit -sharing plans. We require a minimum account size of $50,000. This may be waived at our discretion.\""
    },
    {
      "q": "What changed in Apple Tree Asset Management, LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Regulatory assets under management went from $129,876,404 to $151,850,105 (+17%). Added an office in Angola, IN. No longer lists an office in Fort Wayne, IN."
    }
  ],
  "filing_history": [
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 115101591.0,
      "total_employees": 6,
      "filing_date": "2024-06-12"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 129876404.0,
      "total_employees": 6,
      "filing_date": "2025-05-05"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 151850105.0,
      "total_employees": 7,
      "filing_date": "2026-03-26"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $129,876,404 to $151,850,105 (+17%).",
        "Added an office in Angola, IN.",
        "No longer lists an office in Fort Wayne, IN."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 26, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "$50,000",
    "account_minimum_may_be_waived": true,
    "minimum_annual_fee": null,
    "planning_fees": [
      "Flat fee: $1,000 to $5,000 (comprehensive financial planning)",
      "Hourly rate: $250 an hour (financial consulting services)",
      "Flat fee: $1,000 to $50,000 a year (Qualified Retirement Plan Consulting)"
    ],
    "figures": [
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: $50,000 (the brochure says it may be waived or negotiated)"
        ],
        "quotes": [
          "We offer our services to individuals, high net worth individuals, charities, corporations and other business entities, and pension and profit -sharing plans.  We require a minimum account size of $50,000.  This may be waived at our discretion."
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Flat fee: $1,000 to $5,000 (comprehensive financial planning)"
        ],
        "quotes": [
          "Comprehensive Financial Planning: We charge a fixed fee that ranges from $ 1,000 to $5,000 for comprehensive financial planning."
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Hourly rate: $250 an hour (financial consulting services)"
        ],
        "quotes": [
          "Financial Consulting Services: We assess an hourly rate of $250 for financial consulting services with a minimum of one hour per engagement."
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Flat fee: $1,000 to $50,000 a year (Qualified Retirement Plan Consulting)"
        ],
        "quotes": [
          "Fixed Fee: We charge a n annual fixed fee ranging between $1,000 to $50,000. The fixed fee is negotiable based on the size of the plan."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": 50000.0,
      "minimum_annual_fee": null,
      "planning": [
        {
          "kind": "flat",
          "amount": null,
          "min": 1000.0,
          "max": 5000.0,
          "period": "one_time",
          "service": "comprehensive financial planning"
        },
        {
          "kind": "hourly",
          "amount": 250.0,
          "min": null,
          "max": null,
          "period": "hour",
          "service": "financial consulting services"
        },
        {
          "kind": "flat",
          "amount": null,
          "min": 1000.0,
          "max": 50000.0,
          "period": "annual",
          "service": "Qualified Retirement Plan Consulting"
        }
      ]
    },
    "quotes": [
      "We offer our services to individuals, high net worth individuals, charities, corporations and other business entities, and pension and profit -sharing plans.  We require a minimum account size of $50,000.  This may be waived at our discretion.",
      "Comprehensive Financial Planning: We charge a fixed fee that ranges from $ 1,000 to $5,000 for comprehensive financial planning.",
      "Financial Consulting Services: We assess an hourly rate of $250 for financial consulting services with a minimum of one hour per engagement.",
      "Fixed Fee: We charge a n annual fixed fee ranging between $1,000 to $50,000. The fixed fee is negotiable based on the size of the plan."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Axos Clearing LLC",
      "name_as_filed": "AXOS CLEARING LLC",
      "affiliated": false
    },
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/apple-tree-asset-management-llc-fort-wayne-in-298437.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 729,
      "fewer_than_5": false,
      "raum": 100968984.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 51,
      "fewer_than_5": false,
      "raum": 50825996.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": null,
      "fewer_than_5": true,
      "raum": 55125.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/298437",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}