Hedge Fund Database

HALTER FERGUSON FINANCIAL INC

Adviser information for HALTER FERGUSON FINANCIAL INC last updated from Form ADV on March 1st, 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 Corporation
Fiscal Year End DECEMBER
Legal Location Indiana, United States

Employees

Total Number of Employees 9
Investment Advisory/Research 8
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 3
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 880 $378.2M
Non-Discretionary 0 $0
Total 880 $378.2M

Clients

Type Number RAUM
Individuals 135 $58.6M
HNW Individuals 129 $317.2M
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 0 $0
Charitable organizations <5 $2.5M
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 3
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 101-250

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)
Compensation % of AUMHourly chargesFixed fees

Identifiers

SEC RIA File Number 801-57288
SEC ERA File Number 801-57288
SEC CIK Numbers 1107082, 1842665
SEC CRD Numbers 109563
Legal Entity Identifier None

Principal Office

13080 GRAND BLVD.
SUITE 130
CARMEL
IN
United States
Monday - Friday, 8AM-5PM
Tel: 317-875-0202, Fax: 317-875-0909

Websites

twitter.com/bradsferguson www.folkd.com/user/halterferguson www.linkedin.com/company/5428171/ teslamotorsclub.com/tmc/members/paydirt76.137352/ www.youtube.com/user/nvstmnt www.instagram.com/halterferguson/ slashdot.org/~halterferguson twitter.com/halterferguson www.pinterest.com/halterferguson/ www.hffinancial.com indianapolisfinancialadvisor.blogspot.com/ www.diigo.com/user/halterferguson www.facebook.com/halterferguson/ www.rebellionaire.com twitter.com/rebellionair3

Chief Compliance Officer

BRADFORD FERGUSON
PRESIDENT
13080 GRAND BLVD.
SUITE 130
CARMEL
IN
United States
Tel: 317-875-0202
Fax: 317-875-0909
(Full email address available in API data)

Regulatory Contact

KELLY ENGLERT
INVESTMENT ADMINISTRATOR
13080 GRAND BLVD.
SUITE 130
CARMEL
IN
United States
Tel: 317-875-0202
Fax: 317-875-0909
(Full email address available in API data)

Industry Affiliates

GOOD SOIL INVESTMENT MANAGEMENT LLC Other investment adviser, including financial planners

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
FERGUSON, BRADFORD, SCOTT Individual – PRESIDENT AND CHIEF COMPLIANCE OFFICER 02/2020 > 75%

No. Employees, Historic

105020192020202120222023202420255 on 11/1/20194 on 3/12/20204 on 6/24/20204 on 7/20/20204 on 8/12/20209 on 3/8/20219 on 9/1/20219 on 9/15/20219 on 2/28/20229 on 10/31/20229 on 2/9/20239 on 5/17/20239 on 10/12/20239 on 10/13/20239 on 3/1/2024

RAUM, Historic

400M200M02019202020212022202320242025142084091 on 11/1/2019176400927 on 3/12/2020176400927 on 6/24/2020176400927 on 7/20/2020176400927 on 8/12/2020300505318 on 3/8/2021300505318 on 9/1/2021300505318 on 9/15/2021343082183 on 2/28/2022343082183 on 10/31/2022266706879 on 2/9/2023266706879 on 5/17/2023266706879 on 10/12/2023266706879 on 10/13/2023378241750 on 3/1/2024

No. Clients, Historic

30015002019202020212022202320242025196 on 11/1/2019195 on 3/12/2020195 on 6/24/2020195 on 7/20/2020195 on 8/12/2020228 on 3/8/2021228 on 9/1/2021228 on 9/15/2021252 on 2/28/2022252 on 10/31/2022267 on 2/9/2023267 on 5/17/2023267 on 10/12/2023267 on 10/13/2023264 on 3/1/2024

Holdings

From latest 13F, filed August 13th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
AEHR TEST SYS COM 8M 737K –
ALPHABET INC CAP STK CL A 407K 2K –
ALPHABET INC CAP STK CL C 294K 2K –
AMAZON COM INC COM 408K 2K –
APPLE INC COM 3M 13K –
ARRAY TECHNOLOGIES INC COM SHS 3M 334K –
AXON ENTERPRISE INC COM 207K 703 –
CADENCE BANK COM 3M 102K –
CUMMINS INC COM 297K 1K –
ELI LILLY & CO COM 5M 6K –
GE AEROSPACE COM NEW 300K 2K –
GLOBAL X FDS LITHIUM BTRY ETF 4M 93K –
INVESCO EXCHANGE TRADED FD T S&P500 EQL TEC 3M 77K –
INVESCO QQQ TR UNIT SER 1 17M 36K –
ISHARES TR CORE US AGGBD ET 2M 19K –
ISHARES TR MSCI KLD400 SOC 681K 7K –
JPMORGAN CHASE & CO. COM 275K 1K –
LEMONADE INC COM 12M 744K –
LOVESAC COMPANY COM 4M 164K –
MAIA BIOTECHNOLOGY INC COM 2M 722K –
META PLATFORMS INC CL A 205K 407 –
MICROSOFT CORP COM 1M 2K –
NVIDIA CORPORATION COM 884K 7K –
PEPSICO INC COM 216K 1K –
PLAYA HOTELS & RESORTS NV SHS 4M 458K –
SPDR S&P 500 ETF TR TR UNIT 2M 3K –
TESLA INC COM 61M 308K –
TESLA INC COM 178K – –
VANGUARD INDEX FDS TOTAL STK MKT 1M 5K –
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 1M 25K –