Mindset Wealth Management, Llc
SEC-registered
Wealth Manager · Small ($100M–$1B)
CRD 330384
· SEC file 801-129731
· Indianapolis, IN
· WWW.MINDSETWEALTHMANAGEMENT.COM
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ADV data as of Jul 08, 2026
- Regulatory AUM
- $445M
- Discretionary
- $445M
- Clients
- 277
- Avg AUM / client
- $1.6M
- Accounts
- 276
- Employees
- 4
AUM over time
$0
$445M
Dec 2023
Jul 2026
Annual snapshots from Form ADV filings · as of Jul 08, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 85 | $11.7M | 2.63% |
| High net worth individuals | 189 | $276M | 62.0% |
| Corporations and other businesses | 3 | $157M | 35.4% |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| James William Humphries | Managing Partner | Mar 2024 (2y) | 25% – 50% | |
| Mark Allen Vandygriff | Managing Partner | Mar 2024 (2y) | 25% – 50% | |
| Peter Gorman Bjelopetrovich | Managing Partner | Mar 2024 (2y) | 25% – 50% | |
| Seth William Webb Hickle | Managing Partner | Mar 2024 (2y) | 25% – 50% | |
| Plummer, Christopher, George | Chief Compliance Officer | May 2024 (2y) | Less than 5% |
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) | 07/08/2026 | 1.41 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
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Charles Schwab & Co. $445M (100% of AUM) Jul 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 08, 2026.
View current Form ADV (SEC/IAPD) ↗