SBAUER FUNDS, LLC
CRD #144782 SEC #801-68332 CARMEL, IN 317-814-5000
SEC Registered
Total AUM
$59.8M
Discretionary
$59.8M
Employees
9
Clients
--
Accounts
1
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Indiana
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Nov 17, 2025
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| AUER, ROBERT, CARL | I | PORTFOLIO MANAGER | NA | Control |
| AUER, ROBERT, CARL | I | PORTFOLIO MANAGER | NA | Control |
| AUER, ROBERT, CARL | I | PORTFOLIO MANAGER | NA | Control |
| AUER, ROBERT, CARL | I | PORTFOLIO MANAGER | NA | Control |
| AUER, ROBERT, CARL | I | PORTFOLIO MANAGER | NA | Control |
| AUER, ROBERT, CARL | I | PORTFOLIO MANAGER | NA | Control |
| AUER, ROBERT, CARL | I | PORTFOLIO MANAGER | NA | Control |
| AUER, ROBERT, CARL | I | PORTFOLIO MANAGER | NA | Control |
| AUER, ROBERT, CARL | I | PORTFOLIO MANAGER | NA | Control |
| AUER, ROBERT, CARL | I | PORTFOLIO MANAGER | NA | Control |
| AUER, ROBERT, CARL | I | PORTFOLIO MANAGER | NA | Control |
| AUER, ROBERT, CARL | I | PORTFOLIO MANAGER | NA | Control |
| AUER, ROBERT, CARL | I | PORTFOLIO MANAGER | NA | Control |
| AUER, ROBERT, CARL | I | PORTFOLIO MANAGER | NA | Control |
| BROCK, RONALD, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BROCK, RONALD, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BROCK, RONALD, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BROCK, RONALD, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BROCK, RONALD, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BROCK, RONALD, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BROCK, RONALD, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BROCK, RONALD, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BROCK, RONALD, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BROCK, RONALD, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BROCK, RONALD, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BROCK, RONALD, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BROCK, RONALD, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BROCK, RONALD, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BROCK, RONALD, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BROCK, RONALD, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BROCK, RONALD, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BROCK, RONALD, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BROCK, RONALD, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BROCK, RONALD, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BROCK, RONALD, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BROCK, RONALD, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BROCK, RONALD, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BROCK, RONALD, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BROCK, RONALD, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BROCK, RONALD, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BROCK, RONALD, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BROCK, RONALD, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BROCK, RONALD, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BROCK, RONALD, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BROCK, RONALD, ROBERT | I | CHEIF FINANCIAL OFFICER | NA | Control |
| BRUCH, AUDREY, L. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRUCH, AUDREY, L. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRUCH, AUDREY, L. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRUCH, AUDREY, L. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRUCH, AUDREY, L. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRUCH, AUDREY, L. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRUCH, AUDREY, L. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRUCH, AUDREY, L. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRUCH, AUDREY, L. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRUCH, AUDREY, L. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GILREATH, DAVID, SHEAFF | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GILREATH, DAVID, SHEAFF | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GILREATH, DAVID, SHEAFF | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GILREATH, DAVID, SHEAFF | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GILREATH, DAVID, SHEAFF | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GILREATH, DAVID, SHEAFF | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GILREATH, DAVID, SHEAFF | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GILREATH, DAVID, SHEAFF | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GILREATH, DAVID, SHEAFF | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GILREATH, DAVID, SHEAFF | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GILREATH, DAVID, SHEAFF | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GILREATH, DAVID, SHEAFF | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GILREATH, DAVID, SHEAFF | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GILREATH, DAVID, SHEAFF | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GILREATH, DAVID, SHEAFF | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GILREATH, DAVID, SHEAFF | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KURZAWA, AUDREY, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KURZAWA, AUDREY, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KURZAWA, AUDREY, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KURZAWA, AUDREY, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KURZAWA, AUDREY, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| AUER CAPITAL MANAGEMENT | DE | MEMBER | E | Control |
| AUER FUNDS, LLC | DE | MEMBER | E | Control |
| AUER FUNDS, LLC | DE | MEMBER | E | Control |
| AUER FUNDS, LLC | DE | MEMBER | E | Control |
| AUER FUNDS, LLC | DE | MEMBER | E | Control |
| AUER FUNDS, LLC | DE | MEMBER | E | Control |
| AUER FUNDS, LLC | DE | MEMBER | E | Control |
| AUER FUNDS, LLC | DE | MEMBER | E | Control |
| AUER, ROBERT, CARL | I | MANAGING MEMBER | E | Control |
| AUER, ROBERT, CARL | I | MANAGING MEMBER | E | Control |
| AUER, ROBERT, CARL | I | PORTFOLIO MANAGER | E | Control |
| AUER, ROBERT, CARL | I | PORTFOLIO MANAGER | E | Control |
| AUER, ROBERT, CARL | I | MANAGING MEMBER | E | Control |
| AUER, ROBERT, CARL | I | PORTFOLIO MANAGER | E | Control |
| AUER, ROBERT, CARL | I | PORTFOLIO MANAGER | E | Control |
| AUER, ROBERT, CARL | I | PORTFOLIO MANAGER | E | Control |
| AUER, ROBERT, CARL | I | PORTFOLIO MANAGER | E | Control |
| AUER, ROBERT, CARL | I | PORTFOLIO MANAGER | E | Control |
| AUER, ROBERT, CARL | I | PORTFOLIO MANAGER | E | Control |
| AUER, ROBERT, CARL | I | PORTFOLIO MANAGER | E | Control |
| AUER, ROBERT, CARL | I | PORTFOLIO MANAGER | E | Control |
| AUER, ROBERT, CARL | I | PORTFOLIO MANAGER | E | Control |
| AUER, ROBERT, CARL | I | PORTFOLIO MANAGER | E | Control |
| AUER, ROBERT, CARL | I | PORTFOLIO MANAGER | E | Control |
| AUER, ROBERT, CARL | I | PORTFOLIO MANAGER | E | Control |
| AUER, ROBERT, CARL | I | PORTFOLIO MANAGER | E | Control |
| AUER, ROBERT, CARL | I | PORTFOLIO MANAGER | E | Control |
| AUER, ROBERT, CARL | I | PORTFOLIO MANAGER | E | Control |
| AUER, ROBERT, CARL | I | PORTFOLIO MANAGER | E | Control |
| AUER, ROBERT, CARL | I | PORTFOLIO MANAGER | E | Control |
| SHEAFF BROCK CAPITAL MANAGEMENT, LLC | DE | MEMBER | B | |
| SHEAFF BROCK CAPITAL MANAGEMENT, LLC | DE | MEMBER | B | |
| SHEAFF BROCK CAPITAL MANAGEMENT, LLC | DE | MEMBER | B | |
| SHEAFF BROCK CAPITAL MANAGEMENT, LLC | DE | MEMBER | B | |
| SHEAFF BROCK CAPITAL MANAGEMENT, LLC | DE | MEMBER | B | |
| SHEAFF BROCK CAPITAL MANAGEMENT, LLC | DE | MEMBER | B | |
| SHEAFF BROCK CAPITAL MANAGEMENT, LLC | DE | MEMBER | B | |
| SHEAFF BROCK CAPITAL MANAGEMENT, LLC | DE | MEMBER | B | |
| SHEAFF BROCK CAPITAL MANAGEMENT, LLC | DE | MEMBER | B | |
| SHEAFF BROCK CAPITAL MANAGEMENT, LLC | DE | MEMBER | B | |
| SHEAFF BROCK CAPITAL MANAGEMENT, LLC | DE | MEMBER | B | |
| SHEAFF BROCK CAPITAL MANAGEMENT, LLC | DE | MEMBER | B | |
| SHEAFF BROCK CAPITAL MANAGEMENT, LLC | DE | MEMBER | B | |
| SHEAFF BROCK CAPITAL MANAGEMENT, LLC | DE | MEMBER | B | |
| SHEAFF BROCK CAPITAL MANAGEMENT, LLC | DE | MEMBER | B | |
| SHEAFF BROCK CAPITAL MANAGEMENT, LLC | DE | MEMBER | B | |
| SHEAFF BROCK CAPITAL MANAGEMENT, LLC | DE | MEMBER | B | |
| SHEAFF BROCK CAPITAL MANAGEMENT, LLC | DE | MEMBER | B | |
| SHEAFF BROCK CAPITAL MANAGEMENT, LLC | DE | MEMBER | B | |
| SHEAFF BROCK CAPITAL MANAGEMENT, LLC | DE | MEMBER | B | |
| SHEAFF BROCK CAPITAL MANAGEMENT, LLC | DE | MEMBER | B | |
| SHEAFF BROCK CAPITAL MANAGEMENT, LLC | DE | MEMBER | B | |
| SHEAFF BROCK CAPITAL MANAGEMENT, LLC | DE | MEMBER | B | |
| SHEAFF BROCK CAPITAL MANAGEMENT, LLC | DE | MEMBER | B | |
| SHEAFF BROCK CAPITAL MANAGEMENT, LLC | DE | MEMBER | B | |
| SHEAFF BROCK CAPITAL MANAGEMENT, LLC | DE | MEMBER | B | |
| SHEAFF BROCK INVESTMENT ADVISORS, LLC | DE | MEMBER | B | |
| SHEAFF BROCK INVESTMENT ADVISORS, LLC | DE | MEMBER | B | |
| SHEAFF BROCK INVESTMENT ADVISORS, LLC | DE | MEMBER | B | |
| SHEAFF BROCK INVESTMENT ADVISORS, LLC | DE | MEMBER | B | |
| SHEAFF BROCK INVESTMENT ADVISORS, LLC | DE | MEMBER | B | |
| SHEAFF BROCK INVESTMENT ADVISORS, LLC | DE | MEMBER | B | |
| BROCK, RONALD, ROBERT | I | MEMBER | A | Control |
| BROCK, RONALD, ROBERT | I | MEMBER | A | Control |
| BROCK, RONALD, ROBERT | I | MEMBER | A | Control |
| BROCK, RONALD, ROBERT | I | CHIEF FINANCIAL OFFICER | A | Control |
| BROCK, RONALD, ROBERT | I | MEMBER | A | Control |
| GILREATH, DAVID, SHEAFF | I | MEMBER, CHIEF COMPLIANCE OFFICER | A | Control |
| GILREATH, DAVID, SHEAFF | I | MEMBER, CHIEF COMPLIANCE OFFICER | A | Control |
| GILREATH, DAVID, SHEAFF | I | CHIEF COMPLIANCE OFFICER | A | Control |
| GILREATH, DAVID, SHEAFF | I | CHIEF COMPLIANCE OFFICER | A | Control |
| GILREATH, DAVID, SHEAFF | I | MEMBER, CHIEF COMPLIANCE OFFICER | A | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| BROCK, RONALD, ROBERT | I | SHEAFF BROCK CAPITAL MANAGEMENT, LLC | D | Control |
| BROCK, RONALD, ROBERT | I | SHEAFF BROCK CAPITAL MANAGEMENT, LLC | D | Control |
| BROCK, RONALD, ROBERT | I | SHEAFF BROCK CAPITAL MANAGEMENT, LLC | D | Control |
| BROCK, RONALD, ROBERT | I | SHEAFF BROCK CAPITAL MANAGEMENT, LLC | D | Control |
| BROCK, RONALD, ROBERT | I | SHEAFF BROCK CAPITAL MANAGEMENT, LLC | D | Control |
| BROCK, RONALD, ROBERT | I | SHEAFF BROCK CAPITAL MANAGEMENT, LLC | D | Control |
| BROCK, RONALD, ROBERT | I | SHEAFF BROCK CAPITAL MANAGEMENT, LLC | D | Control |
| BROCK, RONALD, ROBERT | I | SHEAFF BROCK CAPITAL MANAGEMENT, LLC | D | Control |
| BROCK, RONALD, ROBERT | I | SHEAFF BROCK CAPITAL MANAGEMENT, LLC | D | Control |
| BROCK, RONALD, ROBERT | I | SHEAFF BROCK CAPITAL MANAGEMENT, LLC | D | Control |
| BROCK, RONALD, ROBERT | I | SHEAFF BROCK CAPITAL MANAGEMENT, LLC | D | Control |
| BROCK, RONALD, ROBERT | I | SHEAFF BROCK CAPITAL MANAGEMENT, LLC | D | Control |
| BROCK, RONALD, ROBERT | I | SHEAFF BROCK CAPITAL MANAGEMENT, LLC | D | Control |
| BROCK, RONALD, ROBERT | I | SHEAFF BROCK CAPITAL MANAGEMENT, LLC | D | Control |
| BROCK, RONALD, ROBERT | I | SHEAFF BROCK CAPITAL MANAGEMENT, LLC | D | Control |
| GILREATH, DAVID, SHEAFF | I | SHEAFF BROCK CAPITAL MANAGEMENT, LLC | D | Control |
| GILREATH, DAVID, SHEAFF | I | SHEAFF BROCK CAPITAL MANAGEMENT, LLC | D | Control |
| GILREATH, DAVID, SHEAFF | I | SHEAFF BROCK CAPITAL MANAGEMENT, LLC | D | Control |
| GILREATH, DAVID, SHEAFF | I | SHEAFF BROCK CAPITAL MANAGEMENT, LLC | D | Control |
| GILREATH, DAVID, SHEAFF | I | SHEAFF BROCK CAPITAL MANAGEMENT, LLC | D | Control |
| GILREATH, DAVID, SHEAFF | I | SHEAFF BROCK CAPITAL MANAGEMENT, LLC | D | Control |
| GILREATH, DAVID, SHEAFF | I | SHEAFF BROCK CAPITAL MANAGEMENT, LLC | D | Control |
| GILREATH, DAVID, SHEAFF | I | SHEAFF BROCK CAPITAL MANAGEMENT, LLC | D | Control |
| GILREATH, DAVID, SHEAFF | I | SHEAFF BROCK CAPITAL MANAGEMENT, LLC | D | Control |
| GILREATH, DAVID, SHEAFF | I | SHEAFF BROCK CAPITAL MANAGEMENT, LLC | D | Control |
| GILREATH, DAVID, SHEAFF | I | SHEAFF BROCK CAPITAL MANAGEMENT, LLC | D | Control |
| GILREATH, DAVID, SHEAFF | I | SHEAFF BROCK CAPITAL MANAGEMENT, LLC | D | Control |
| GILREATH, DAVID, SHEAFF | I | SHEAFF BROCK CAPITAL MANAGEMENT, LLC | D | Control |
| GILREATH, DAVID, SHEAFF | I | SHEAFF BROCK CAPITAL MANAGEMENT, LLC | D | Control |
| GILREATH, DAVID, SHEAFF | I | SHEAFF BROCK CAPITAL MANAGEMENT, LLC | D | Control |
Registrations
Federal
IA
Nov 17, 2025 REGISTERED
Notice Filings (1)
IN
Address
580 E. CARMEL DR.SUITE 350
CARMEL, IN 46032
United States
Phone: 317-814-5000