# Apple Tree Asset Management, LLC

> 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.

- CRD: 298437
- Filed as: APPLE TREE ASSET MANAGEMENT, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Fort Wayne, IN
- Filing period: October 2026
- Form ADV filing dated: March 26, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/298437
- AdvisorCensus page: https://advisorcensus.com/firm/apple-tree-asset-management-llc-fort-wayne-in-298437

## Quick answers

**How is Apple Tree Asset Management, LLC compensated?**
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).

**How much does Apple Tree Asset Management, LLC charge?**
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.

**Where is Apple Tree Asset Management, LLC located?**
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).

**Is Apple Tree Asset Management, LLC registered with the SEC or a state?**
Apple Tree Asset Management, LLC is an SEC-registered investment advisory firm, registered since 2024. Status as filed: Approved. CRD 298437.

**How much does Apple Tree Asset Management, LLC manage?**
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).

**How have Apple Tree Asset Management, LLC's assets and staff changed since 2024?**
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.

**What types of clients does Apple Tree Asset Management, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (729); high net worth individuals (51).

**Which custodians does Apple Tree Asset Management, LLC use?**
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.

**Does Apple Tree Asset Management, LLC report any disciplinary disclosures?**
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

**Does Apple Tree Asset Management, LLC state an account minimum?**
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."

**What changed in Apple Tree Asset Management, LLC's recent Form ADV filings?**
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.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated March 26, 2026)

- Account minimum: $50,000 (the brochure says it may be waived or negotiated)

> 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.

- Flat fee: $1,000 to $5,000 (comprehensive financial planning)

> Comprehensive Financial Planning: We charge a fixed fee that ranges from $ 1,000 to $5,000 for comprehensive financial planning.

- Hourly rate: $250 an hour (financial consulting services)

> Financial Consulting Services: We assess an hourly rate of $250 for financial consulting services with a minimum of one hour per engagement.

- Flat fee: $1,000 to $50,000 a year (Qualified Retirement Plan Consulting)

> 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.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Axos Clearing LLC
- Charles Schwab & Co., Inc.

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.

### Regulatory assets under management (Item 5.F)
- Total: $151,850,105
- Discretionary: $118,206,639
- Non-discretionary: $33,643,466

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 729 | $100,968,984 |
| High net worth individuals | 51 | $50,825,996 |
| Charitable organizations | Fewer than 5 | $55,125 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2024 (2 years)
- Employees: 7 total, 6 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: FL, IN, MI, OH
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the April 2026 filing
- Angola, IN

### Websites listed on Form ADV (Item 1.I)
- appletreefinancialgroup.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2024 | $115,101,591 | 6 | June 12, 2024 |
| October 2025 | $129,876,404 | 6 | May 5, 2025 |
| October 2026 | $151,850,105 | 7 | March 26, 2026 |

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.

## Changes in the filing (last 12 months)

### April 2026
- 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.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Apple Tree Asset Management, LLC (CRD 298437): Form ADV filing data as of October 2026.