HOWARD BAILEY SECURITIES, LLC
Adviser information for HOWARD BAILEY SECURITIES, LLC last updated from Form ADV on March 31st, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Indiana, United States |
Employees
| Total Number of Employees | 15 |
|---|---|
| Investment Advisory/Research | 14 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 14 |
| Licensed Agents of an Insurance Company | 15 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 4,071 | $431.7M |
| Non-Discretionary | 273 | $31.6M |
| Total | 4,344 | $463.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 2,277 | $299.6M |
| HNW Individuals | 203 | $162.2M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $1.5M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)CONSULTING, THIRD PARTY MONEY MANAGERS, SUB ADVISERS |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-114636 |
|---|---|
| SEC ERA File Number | 801-114636 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 282712 |
| Legal Entity Identifier | None |
Principal Office
5916 COVINGTON RDFORT WAYNE
IN
United States
Monday - Friday, APPOINTMENT ONLY
Tel: 260-482-9559, Fax: 260-482-9779
Websites
www.retirewithpurpose.com
twitter.com/howardbaileyfin
www.linkedin.com/company/howardbaileyfinancial
www.youtube.com/c/retirewithpurpose
www.linkedin.com/showcase/the-purpose-based-retirement?trk=showcase-pages_org_title
www.instagram.com/casey_weade/
www.instagram.com/howardbaileyfinancial/
twitter.com/caseyweade?lang=en
www.facebook.com/caseyweadeofficial
www.linkedin.com/in/casey-b-weade/
www.howardbailey.com
www.facebook.com/howardbaileyfinancial/
Chief Compliance Officer
JOHN HENRY HARPER
CHIEF COMPLIANCE OFFICER
5916 COVINGTON RD
FORT WAYNE
IN
United States
Tel:
866-482-9559
Fax:
260-482-9779
J*********@***************M
(Full email address available in API data)
Regulatory Contact
CASEY WEADE
CEO
15916 COVINGTON RD
FORT WAYNE
IN
United States
Tel:
(866) 482-9559
Fax:
260-482-9779
C*********@***************M
(Full email address available in API data)
Industry Affiliates
| HOWARD BAILEY FINANCIAL, INC. | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WEADE, CASEY, BAILEY | Individual | – | CHIEF EXECUTIVE OFFICER | 03/2016 | > 75% |
| HARPER, JOHN, HENRY | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2020 | < 5% |
| Chambers, Matthew, Philip Christopher | Individual | – | CHIEF OPERATING OFFICER | 08/2021 | < 5% |