# Pettinga Financial Advisors, LLC

> Pettinga Financial Advisors, LLC is an SEC-registered investment advisory firm in Evansville, IN, registered since 2011, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated June 11, 2026.

- CRD: 156369
- Filed as: PETTINGA FINANCIAL ADVISORS, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Evansville, IN
- Filing period: October 2026
- Form ADV filing dated: June 11, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/156369
- AdvisorCensus page: https://advisorcensus.com/firm/pettinga-financial-advisors-llc-evansville-in-156369

## Quick answers

**How is Pettinga Financial Advisors, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Pettinga Financial Advisors, LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees).

**Where is Pettinga Financial Advisors, LLC located?**
Pettinga Financial Advisors, LLC's principal office is in Evansville, IN, according to its Form ADV.

**Is Pettinga Financial Advisors, LLC registered with the SEC or a state?**
Pettinga Financial Advisors, LLC is an SEC-registered investment advisory firm, registered since 2011. Status as filed: Approved. CRD 156369.

**How much does Pettinga Financial Advisors, LLC manage?**
Pettinga Financial Advisors, LLC reports $1,275,804,828 in regulatory assets under management in its Form ADV filing dated June 11, 2026 (98% discretionary).

**How have Pettinga Financial Advisors, LLC's assets and staff changed since 2021?**
In the Form ADV data for Pettinga Financial Advisors, LLC: Regulatory assets under management: $943,902,145 in the October 2021 data and $1,275,804,828 in the October 2026 data, up 35%. Total employees: 9 in October 2021 and 11 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Pettinga Financial Advisors, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (411); high net worth individuals (257); corporations or other businesses not listed above (22).

**Which custodians does Pettinga Financial Advisors, LLC use?**
Pettinga Financial Advisors, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and National Financial Services LLC as custodians holding 10% or more of its separately managed account assets.

**Does Pettinga Financial Advisors, 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/156369

**Does Pettinga Financial Advisors, LLC state an account minimum?**
Its Form ADV Part 2A brochure dated March 30, 2026 says: "The Firm does not have a formal account minimum but retains discretion to decline to engage any client whose portfolio or goals are not a fit for the Firm."

**What changed in Pettinga Financial Advisors, LLC's recent Form ADV filings?**
In the July 2026 filing data: Registered or notice-filed in WI.

## From the Form ADV filing

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

### Fees and minimums (Form ADV Part 2A brochure dated March 30, 2026)

- Account minimum: None (the brochure says it may be waived or negotiated)

> The Firm does not have a formal account minimum but retains discretion to decline to engage any client whose portfolio or goals are not a fit for the Firm.

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

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- National Financial Services LLC

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: $1,275,804,828
- Discretionary: $1,251,269,262
- Non-discretionary: $24,535,566

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 411 | $176,676,829 |
| High net worth individuals | 257 | $895,943,079 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 9 | $98,487,527 |
| Charitable organizations | 13 | $26,166,559 |
| Corporations or other businesses not listed above | 22 | $78,530,834 |

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

### Firm details
- Registered since: 2011 (15 years)
- Employees: 11 total, 7 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, FL, GA, IL, IN, KY, MN, OH, SC, TN, TX, WI
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- [focusfinancialpartners.com](https://focusfinancialpartners.com)
- [pettinga.com](https://pettinga.com)
- LinkedIn @FOCUS-FINANCIAL-PARTNERS
- LinkedIn @PETTINGA-FINANCIAL-ADVISORS
- X @FOCUSFINANCIAL

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $943,902,145 | 9 | April 5, 2021 |
| October 2022 | $965,820,170 | 10 | March 31, 2022 |
| October 2023 | $866,824,440 | 10 | September 20, 2023 |
| October 2024 | $1,002,465,901 | 10 | September 18, 2024 |
| October 2025 | $1,112,782,969 | 12 | April 1, 2025 |
| October 2026 | $1,275,804,828 | 11 | June 11, 2026 |

Regulatory assets under management: $943,902,145 in the October 2021 data and $1,275,804,828 in the October 2026 data, up 35%.
Total employees: 9 in October 2021 and 11 in October 2026.

## Changes in the filing (last 12 months)

### July 2026
- Registered or notice-filed in WI.

### May 2026
- Registered or notice-filed in SC.

### April 2026
- Regulatory assets under management went from $1,112,782,969 to $1,275,804,828 (+15%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Pettinga Financial Advisors, LLC (CRD 156369): Form ADV filing data as of October 2026.