Umbaugh Cash Advisory Services, LLC (Indianapolis)


Umbaugh Cash Advisory Services, LLC is a large advisory firm based in Indianapolis. It manages $1.04 billion of regulatory assets for 63 client accounts. It has been registered with the SEC as an adviser since 2010 and has operated in the jurisdictions of Indiana, Michigan, and Ohio.

Umbaugh Cash Advisory Services provides portfolio management for businesses and institutional clients, publication of newsletters, and educational seminars and workshops. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Umbaugh Cash Advisory Services: assets under management

The assets under management (AUM) of Umbaugh Cash Advisory Services, LLC is $1.04 billion. The company doesn't manage any assets belonging to foreign clients.

Investments

The firm invests in other assets the most. They account for 63% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 28% of the firm’s portfolio. Investments in government bonds form 6% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Umbaugh Cash Advisory Services, LLC for their services and products based on a percentage of assets under management and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Umbaugh Cash Advisory Services serves?

The only and largest group of clients of Umbaugh Cash Advisory Services is state or municipal government entities with 63 clients and $1.04 billion of assets under management. Among the 8 most similar advisory firms, Umbaugh Cash Advisory Services has the highest percentage of state or municipal government entities out of all clients.

The amount of regulatory assets under management is $1.04 billion for 63 clients. None of the firm’s clients are foreign persons or businesses.

Umbaugh Cash Advisory Services doesn't advise any private funds.

Careers at Umbaugh Cash Advisory Services, LLC

The company employs 4 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 4 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Certified Public Accountants Llp H.J. Umbaugh & Associates Member 1 Jan 2010 75% - 100% 35-1309391
Gerald Gene Malone Managing member 1 Jan 2010 Other 5028124
John Donaher Julien Managing member 1 Jan 2010 Other 5028127
Todd Andrew Samuelson Managing member 1 Jan 2010 Other 5028137
David Clarence Frederick Chief compliance officer 1 Jan 2010 Other 5028140
David C. Frederick Chief compliance officer 1 Jan 2010 Other 5028140
Gerald G. Malone Executive committee member 1 Jan 2010 Other 5028124
John D. Julien Executive committee member 1 Jan 2010 Other 5028127
Todd A. Samuelson Executive committee member 1 Jan 2010 Other 5028137
Brian Christopher Colton Chief compliance officer 1 Dec 2011 Other 6005706
John M. Seever Managing member 1 Jan 2016 Other 5028130

Indirect Owners

The SEC currently registers 4 indirect owners.

Name Entity Date acquired Ownership Employer ID
Gerald Gene Malone Partner 1 Jan 1983 25% - 50% 5028124
Gerald G. Malone Partner 1 Jan 1983 25% - 50% 5028124
John Donaher Julien Partner 1 Jul 1990 25% - 50% 5028127
John M. Seever Partner 1 Jan 1992 25% - 50% 5028130

Based in Indianapolis

The principal office where Umbaugh Cash Advisory Services, LLC performs its advisory services is located at 8365 Keystone Crossing/Suite 300, Indianapolis, IN 46240 0458 The mailing address of the firm is 8365 Keystone Crossing/Suite300, Indianapolis, IN 46240 0458. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 317-465-1500 or by fax 317-465-1550. The normal business hours are 8:30am to 5:00pm on Monday - Friday.