Sbauer Funds, Llc
- Regulatory AUM
- $61.3M
- Discretionary
- $61.3M
- Clients
- 1
- Avg AUM / client
- $61.3M
- Accounts
- 1
- Employees
- 7
AUM over time
Annual snapshots from Form ADV filings · as of Feb 25, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Investment companies | 1 | $61.3M | 100.0% |
People (4)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Auer, Robert, Carl | Portfolio Manager | Sep 2007 (19y) | 75% or more | |
| Ronald Robert Brock | Cheif Financial Officer | Sep 2007 (19y) | ≈ 5% – 18.75% via Sheaff Brock Capital Management, Llc | |
| David Gilreath | Owner/Member | CFP | Apr 2012 (14y) | ≈ 5% – 18.75% via Sheaff Brock Capital Management, Llc |
| Audrey Bruch | Chief Compliance Officer | Mar 2019 (7y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Sheaff Brock Capital Management, Llc | Member | Oct 2007 | A | 10% – 25% |
Undisclosed: 0% – 15% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Ronald Robert Brock: 50% – 75% of Sheaff Brock Capital Management, Llc × 10% – 25% direct ≈ 5% – 18.75% of the firm
- David Gilreath: 50% – 75% of Sheaff Brock Capital Management, Llc × 10% – 25% direct ≈ 5% – 18.75% 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) | 02/25/2026 | 898 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
Services
- • Portfolio management for investment companies
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Feb 25, 2026.
View current Form ADV (SEC/IAPD) ↗