SDM Investments, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$7,717,047
Clients
41
5% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
41
HighAverage account size
$188,221
About
SDM Investments, LLC is a fee‑based registered investment adviser that provides customized portfolio management and financial planning to individuals as well as institutional clients, including corporations, not‑for‑profit organizations, endowments, municipalities and pension funds. The firm uses percentage‑of‑assets billing for managed accounts and also offers hourly and modular financial planning engagements.
The firm’s investment work centers on a Mid Cap Value strategy informed by fundamental, valuation‑driven research and typically constructs concentrated portfolios of roughly 15–25 holdings with a multi‑year horizon; SDM states it ordinarily manages accounts under agreed parameters on a discretionary basis and conducts at least annual reviews. SDM also offers performance‑based fee arrangements for qualified clients tied to the Russell Mid Cap Value Index, a structure the brochure notes can increase incentives for more concentrated or active management.
Noteworthy distinctions include a disclosed regulatory matter from 2018 that was resolved by consent decree, and affiliations in which certain members act as licensed insurance agents and work with other insurance agencies — relationships the firm says are disclosed and may create conflicts when insurance products are recommended. The brochure also highlights services less common for small independents, such as serving institutional clients and providing occasional financial‑literacy or budgeting programs for adults and youth.
Client services
Financial planning
Portfolio management
Educational seminars or workshops
Expertise
Active portfolio management
Wealth management
Fee options
$0 - $9,999: $100 annually (paid semi-annually) $10,000 - $19,999: Minimum $200 annually (paid monthly) $20,000 - $29,999: Minimum $300 annually (paid monthly) $30,000 - $49,999: Minimum $400 annually (paid monthly) $50,000+: 1% annually (paid monthly)
$150 per hour for consulting and modular financial planning services.
Performance fee of 20% of returns exceeding Russell Mid Cap Value Index for qualified clients with tiered management fees on assets under management.
Account minimum: $50,000 Minimum fee: $100 to $400 annually minimum fees on accounts below $50,000 as per tiered fee schedule. Fee-only: Financial planning consulting services offered at $150 per hour.
Main office location
SDM Investments, LLC
6111 Harrison St., Ste. 117
Merrillville IN 46410, United States
Number of offices
2
Most active in
SDM Investments, LLC has reported serving >5 clients in these states in the last 12 months.
Illinois · Indiana
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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