SourcingSourcing

GIMBAL FINANCIAL, LLC

C33
CRD 159003·SEC 801-110875·CARMEL, IN
AUM
$290.0M
$100M-$500M
Est. Revenue
$2.9M
@ 1% on AUM
Est. EBITDA
$870K
@ 30% margin
Est. Deal Value
$7.0M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
GIMBAL FINANCIAL, LLC
CRD
159003
SEC file #
801-110875
EIN
—
DBA names
—

Economics

AUM
$290.0M
AUM band
$100M-$500M
AUM trajectory
'20'26
$132.1M → $290.0M▲ +119%
Client mix
Individuals Other274
Individuals High Net Worth106
Pension Profit Sharing Plans4
Charitable Organizations2
Corporations2

Operations

Employees (total)
6
Advisory staff (per ADV)
4
Advisory staff (5-yr trend)
'20'26
4 advisors → 4 advisors▬ 0%
Primary office
CARMEL IN
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Portfolio mgmt — individualsPension consultingOther Advisory Services
Fee basis
% of AUM

Filings

Latest ADV filing
03/05/2026
ADV-W filed at
—
Website
gimbalfinancial.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
SHRIEVE, DOUGLAS, ALLEN
Top Owner Pct
62.5
Top Owner Entity Kind
I
Owner Count
3
Control Persons
SHRIEVE, DOUGLAS, ALLEN
TYNER, KEITH, ALAN
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
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
GIMBALFINANCIAL.COM
Rdap Domain Creation Date
2004-11-09T14:22:39Z
Rdap Firm Age Years
22
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

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
0
Bc Firm Active IA Count
6
Bc Firm IAR Count
6
Custodian Candidates
Full
E*trade4
Fidelity2
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2030-11-09T14:22:39Z
Rdap Domain Last Changed
2025-09-10T06:43:35Z
Rdap Nameservers
Ns0.wixdns.netNs1.wixdns.net
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Top Owner CRD
3159316
Trust Company Affiliate
No

People (7)

7
SHRIEVE, DOUGLAS, ALLEN
IAR · Direct Owner · 62.5%
3159316
TYNER, KEITH, ALAN
IAR · Direct Owner · 62.5%
1542622
MITCHELL, SUSAN, ELAINE
Executive Officer · 2.5%
1453956
Caleb A Tyner
IAR
8057464
PHILIP ALLAN BYERS
IAR
4744380
AMANDA KRISTINE HINEMAN
IAR
6698516
ELIZABETH MARIE RITZ
IAR
4331747