SourcingSourcing

FINANCIAL CONSULTANTS & ADVISORY CORPORATION

B58
CRD 113390·SEC 801-119736·INDIANAPOLIS, IN
AUM
$333.1M
$100M-$500M
Est. Revenue
$3.3M
@ 1% on AUM
Est. EBITDA
$999K
@ 30% margin
Est. Deal Value
$8.0M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
FINANCIAL CONSULTANTS & ADVISORY CORPORATION
CRD
113390
SEC file #
801-119736
EIN
—
DBA names
Charter Advisory Corporation

Economics

AUM
$333.1M
AUM band
$100M-$500M
AUM trajectory
'21'26
$161.3M → $333.1M▲ +107%
Client mix
Individuals Other372
Individuals High Net Worth203
Pension Profit Sharing Plans18

Operations

Employees (total)
15
Advisory staff (per ADV)
15
Advisory staff (5-yr trend)
'21'26
16 advisors → 15 advisors▼ -6%
Primary office
INDIANAPOLIS IN
Branches
—

Custodian & Brokerage

Primary custodian
LPL Financiallow confidence
Services offered
Financial planningPortfolio mgmt — individualsSelection of other advisers
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
03/24/2026
ADV-W filed at
—
Website
charteradvisory.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
KELLEY, MICHAEL, JOSEPH
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
KELLEY, MICHAEL, JOSEPH
YEARWOOD, DAVID, GEORGE
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
CHARTERADVISORY.COM
Rdap Domain Creation Date
2000-08-29T20:07:25Z
Rdap Firm Age Years
26
Rdap Firm Age Band
20+y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No
Form 5500 Plan Count
1
Form 5500 Total Compensation
21,668
Form 5500 Compensation Trajectory 3y
202521,668
Form 5500 Plan Count Trajectory 3y
20251
Schedule C Total Compensation
21,668
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (14)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
14
Bc Firm Active IA Count
14
Bc Firm IAR Count
14
Custodian Candidates
Full
Lpl Financial18
E*trade4
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2026-08-29T20:07:25Z
Rdap Domain Last Changed
2024-01-30T17:28:58Z
Rdap Nameservers
Ns37.worldnic.comNs38.worldnic.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Top Owner CRD
1021878
Trust Company Affiliate
No

People (14)

14
KELLEY, MICHAEL, JOSEPH
IAR · Direct Owner · 87.5%
1021878
YEARWOOD, DAVID, GEORGE
IAR · Executive Officer · 2.5%
1510847
KEVIN MICHAEL POWERS
IAR
4561891
KAREN PARDIECK GRINDLAY
IAR
3013041
DAVID PATRICK DAMASKA
IAR
2609460
DOUGLAS ROBERT SWEET
IAR
1791257
LOWELL EMERSON DEVER
IAR
66548
CHARLES PETER PILECKI
IAR
2095941
JULIE ANN THOMPSON
IAR
1903459
SINA MARY NOWAK
IAR
2135748
Michael Macius
IAR
7275513
THOMAS ARTHUR BUTLER
IAR
1033101
RANDALL EUGENE HARRISON
IAR
5434946
JESSE D SWEET
IAR
7255978