Fi3 Financial Advisors, Llc
- Regulatory AUM
- $1.1B
- Discretionary
- $975M
- Clients
- 258
- Avg AUM / client
- $4.4M
- Accounts
- 1,643
- Employees
- 21
AUM over time
Annual snapshots from Form ADV filings · as of Jul 24, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 63 | $30.2M | 2.65% |
| High net worth individuals | 183 | $1.1B | 94.0% |
| Pension and profit sharing plans | 2 | $8.2M | 0.72% |
| Charitable organizations | 7 | $26.6M | 2.33% |
| Corporations and other businesses | 3 | $3.8M | 0.34% |
Private funds (2)
Reported in Form ADV Section 7.B.(1), filing of Oct 2024 · $2.5M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Fi3 Acp Fund 2022, Lp feeder | Private Equity Fund | Delaware | $2.5M | 25 |
| Fi3 Capital Private Equity 2024, Lp | Private Equity Fund | Delaware | $0 | 0 |
People (10)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Ivan Douglas Hoffman | Managing Partner | CFP | Mar 2012 (14y) | 75% or more |
| Samuel David Muse | Business Partner | CFP | Jun 2015 (11y) | 10% – 25% |
| Matthew Joseph Simpson | Business Partner | CFP | May 2016 (10y) | 10% – 25% |
| Warning, Andrew, S | Chief Compliance Officer | Sep 2021 (5y) | Less than 5% | |
| Amy Renae Hlavacek | Registered representative | CFP | Oct 2019 (7y) | |
| Nathan Jeffrey Kinney | Registered representative | May 2022 (4y) | ||
| Alexander Alessia | Registered representative | CFP | Apr 2023 (3y) | |
| Garrett Kern | Registered representative | CFP | Sep 2023 (3y) | |
| Thays Rodrigues Cardoso | Registered representative | CFP | Sep 2024 (2y) | |
| Kirstyn Leigh Simon | Registered representative | CFP | Sep 2025 (1y) |
Undisclosed: 0% – 5% of the firm is not attributable from the filed Schedule A bands.
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.
Private funds (2, $2.5M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Fi3 Acp Fund 2022, Lp | Private Equity Fund | $2.5M | $250K | 25 |
| Fi3 Capital Private Equity 2024, Lp | Private Equity Fund | $0 | $500K | 0 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/30/2026 | 1.49 MB | 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
- • Other fees
- • PERCENTAGE OF CLIENT NET WORTH
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $595M (52% of AUM) Jun 2026
- Fidelity Investments $399M (35% 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: Jul 24, 2026.
View current Form ADV (SEC/IAPD) ↗