Pettinga Financial Advisors, Llc
SEC-registered
Wealth Manager · Mid-sized ($1B–$10B)
CRD 156369
· SEC file 801-72154
· Evansville, IN
· PETTINGA.COM
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ADV data as of Jun 11, 2026
- Regulatory AUM
- $1.3B
- Discretionary
- $1.3B
- Clients
- 712
- Avg AUM / client
- $1.8M
- Accounts
- 2,267
- Employees
- 11
AUM over time
$550M
$1.3B
Mar 30, 2012
Jun 11, 2026
Reported AUM from Form ADV filings, plotted by filing date · as of Jun 11, 2026
Investments (13F portfolio — 156 positions, $623,930,520)
13F period Jun 30, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Ishares Tr | CORE S&P500 ETF | $63,885,313 | 85,307 | 10.2% | 5.01% |
| 2 | Blackrock Etf Trust | ISHA IN CTRY ETF | $39,384,236 | 1,076,072 | 6.31% | 3.09% |
| 3 | Ishares Tr | S&P 500 GRWT ETF | $35,068,493 | 254,988 | 5.62% | 2.75% |
| 4 | Ishares Tr | U S EQUITY FACTR | $30,448,386 | 402,597 | 4.88% | 2.39% |
| 5 | Ishares Tr | S&P 500 VAL ETF | $27,504,185 | 121,132 | 4.41% | 2.16% |
| 6 | State Str Spdr S&P 500 Etf T | TR UNIT | $23,641,315 | 31,658 | 3.79% | 1.85% |
| 7 | Invesco Exchange Traded Fd T | RAFI US 1000 ETF | $23,189,378 | 429,194 | 3.72% | 1.82% |
| 8 | Ishares Tr | US TREAS BD ETF | $19,032,332 | 835,484 | 3.05% | 1.49% |
| 9 | Spdr Gold Tr | GOLD SHS | $18,638,892 | 50,597 | 2.99% | 1.46% |
| 10 | Ishares Tr | U.S. TECH ETF | $15,865,213 | 62,900 | 2.54% | 1.24% |
| 11 | Blackrock Etf Trust | ISHA SYST AL ETF | $14,866,059 | 529,984 | 2.38% | 1.17% |
| 12 | Apple Inc | COM | $14,259,024 | 49,278 | 2.29% | 1.12% |
| 13 | Ishares Tr | MSCI USA MMENTM | $14,187,810 | 41,384 | 2.27% | 1.11% |
| 14 | State Str Spdr Dow Jones Ind | UT SER 1 | $13,971,370 | 26,745 | 2.24% | 1.1% |
| 15 | Ishares Tr | RUS 1000 GRW ETF | $12,480,896 | 100,515 | 2.0% | 0.98% |
| 16 | Ishares Tr | CORE S&P SCP ETF | $12,077,453 | 81,434 | 1.94% | 0.95% |
| 17 | Vanguard Whitehall Fds | HIGH DIV YLD | $11,222,935 | 71,018 | 1.8% | 0.88% |
| 18 | Invesco Qqq Tr | UNIT SER 1 | $10,163,086 | 13,801 | 1.63% | 0.8% |
| 19 | Cincinnati Finl Corp | COM | $9,769,205 | 52,767 | 1.57% | 0.77% |
| 20 | Global X Fds | DEFENSE TECH ETF | $9,453,545 | 158,324 | 1.52% | 0.74% |
| 21 | Blackrock Etf Trust | ISHA LA CORE ETF | $9,356,581 | 185,757 | 1.5% | 0.73% |
| 22 | Ishares Tr | MBS ETF | $9,174,375 | 97,063 | 1.47% | 0.72% |
| 23 | Ishares Tr | MSCI USA QLT FCT | $8,682,803 | 39,570 | 1.39% | 0.68% |
| 24 | Ishares Tr | CORE S&P MCP ETF | $8,671,311 | 112,454 | 1.39% | 0.68% |
| 25 | Invesco Exchange Traded Fd T | S&P500 EQL WGT | $6,209,217 | 29,183 | 1.0% | 0.49% |
Top 25 of 156 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 411 | $177M | 13.8% |
| High net worth individuals | 257 | $896M | 70.2% |
| Pension and profit sharing plans | 9 | $98.5M | 7.72% |
| Charitable organizations | 13 | $26.2M | 2.05% |
| Corporations and other businesses | 22 | $78.5M | 6.16% |
People (8)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Brian Jay Goebel | Senior Vice President | CFP | Dec 2010 (16y) | Less than 5% |
| Mark Victor Pettinga | President, Ceo & Cio | CFP | Dec 2010 (16y) | Less than 5% |
| Matthew Edward Volkman | Senior Vice President | CFP | Dec 2010 (16y) | Less than 5% |
| Tonya Faye Borders | Cco, Cfo & Coo | Jan 2011 (16y) | Less than 5% | |
| Joel Scott Mullins | Registered representative | Jun 2018 (8y) | ||
| Austin L Volkman | Registered representative | Jul 2020 (6y) | ||
| Addison D Volkman | Registered representative | Apr 2022 (4y) | ||
| Seth Edmund Cissna | Registered representative | Jun 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Focus Operating, Llc | Member (Manager) | Dec 2010 | A | 75% or more |
| Focus Financial Partners, Llc | Member | Jan 2007 | B | ≈ 56.25% – 100% via Focus Operating, Llc |
| Focus Financial Partners Inc. | Member | Jul 2018 | B | ≈ 42.19% – 100% via Focus Financial Partners, Llc |
| Ferdinand Ffp Acquisition, Llc | Shareholder, Class A Common Stock | Aug 2023 | B | ≈ 31.64% – 100% via Focus Financial Partners Inc. |
| Ferdinand Ffp Ultimate Holdings, Lp | Shareholder, Class B Common Stock | Aug 2023 | B | ≈ 31.64% – 100% via Focus Financial Partners Inc. |
| Ferdinand Ffp Intermediate Holdings, Llc | Member | Aug 2023 | B | ≈ 23.73% – 100% via Ferdinand Ffp Acquisition, Llc |
| Ferdinand Ffp Parent, Inc. | Member | Aug 2023 | B | ≈ 17.8% – 100% via Ferdinand Ffp Intermediate Holdings, Llc |
| Cd&R Ferdinand Holdings, L.P. | Partner | Aug 2023 | B | ≈ 15.82% – 75% via Ferdinand Ffp Ultimate Holdings, Lp |
| Clayton, Dubilier & Rice Fund Xii, L.P. | Partner | Aug 2023 | B | ≈ 7.91% – 56.25% via Cd&R Ferdinand Holdings, L.P. |
| Cd&R Ferdinand Co Investor, L.P. | Partner | Aug 2023 | B | ≈ 3.96% – 37.5% via Cd&R Ferdinand Holdings, L.P. |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Focus Financial Partners, Llc: 75% – 100% of Focus Operating, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Focus Financial Partners Inc.: 75% – 100% of Focus Financial Partners, Llc × 75% – 100% of Focus Operating, Llc × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Ferdinand Ffp Acquisition, Llc: 75% – 100% of Focus Financial Partners Inc. × 75% – 100% of Focus Financial Partners, Llc × 75% – 100% of Focus Operating, Llc × 75% – 100% direct ≈ 31.64% – 100% of the firm
- Ferdinand Ffp Ultimate Holdings, Lp: 75% – 100% of Focus Financial Partners Inc. × 75% – 100% of Focus Financial Partners, Llc × 75% – 100% of Focus Operating, Llc × 75% – 100% direct ≈ 31.64% – 100% of the firm
- Ferdinand Ffp Intermediate Holdings, Llc: 75% – 100% of Ferdinand Ffp Acquisition, Llc × 75% – 100% of Focus Financial Partners Inc. × 75% – 100% of Focus Financial Partners, Llc × 75% – 100% of Focus Operating, Llc × 75% – 100% direct ≈ 23.73% – 100% of the firm
- Ferdinand Ffp Parent, Inc.: 75% – 100% of Ferdinand Ffp Intermediate Holdings, Llc × 75% – 100% of Ferdinand Ffp Acquisition, Llc × 75% – 100% of Focus Financial Partners Inc. × 75% – 100% of Focus Financial Partners, Llc × 75% – 100% of Focus Operating, Llc × 75% – 100% direct ≈ 17.8% – 100% of the firm
- Cd&R Ferdinand Holdings, L.P.: 50% – 75% of Ferdinand Ffp Ultimate Holdings, Lp × 75% – 100% of Focus Financial Partners Inc. × 75% – 100% of Focus Financial Partners, Llc × 75% – 100% of Focus Operating, Llc × 75% – 100% direct ≈ 15.82% – 75% of the firm
- Clayton, Dubilier & Rice Fund Xii, L.P.: 50% – 75% of Cd&R Ferdinand Holdings, L.P. × 50% – 75% of Ferdinand Ffp Ultimate Holdings, Lp × 75% – 100% of Focus Financial Partners Inc. × 75% – 100% of Focus Financial Partners, Llc × 75% – 100% of Focus Operating, Llc × 75% – 100% direct ≈ 7.91% – 56.25% of the firm
- Cd&R Ferdinand Co Investor, L.P.: 25% – 50% of Cd&R Ferdinand Holdings, L.P. × 50% – 75% of Ferdinand Ffp Ultimate Holdings, Lp × 75% – 100% of Focus Financial Partners Inc. × 75% – 100% of Focus Financial Partners, Llc × 75% – 100% of Focus Operating, Llc × 75% – 100% direct ≈ 3.96% – 37.5% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/11/2026 | 1020 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $987M (77% of AUM) Jun 2026
- National Financial Services (Fidelity) $144M (11% of AUM) Jun 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jun 11, 2026.
View current Form ADV (SEC/IAPD) ↗