HUNTINGTON FINANCIAL ADVISORS
THE HUNTINGTON INVESTMENT COMPANY Legal Name
Adviser information for HUNTINGTON FINANCIAL ADVISORS last updated from Form ADV on March 5th, 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 | Ohio, United States |
Employees
| Total Number of Employees | 483 |
|---|---|
| Investment Advisory/Research | 408 |
| Registered Broker-Dealer Representatives | 438 |
| Registered State Investment Advisers | 350 |
| Licensed Agents of an Insurance Company | 400 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 32,956 | $5.2B |
| Non-Discretionary | 0 | $0 |
| Total | 32,956 | $5.2B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 32,169 | $4.5B |
| HNW Individuals | 564 | $600.0M |
| 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 | 29 | $14.4M |
| 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 | 194 | $64.6M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 5.2B |
| Portfolio Manager | 0 |
| Both for Same | 0 |
Identifiers
| SEC RIA File Number | 801-58015 |
|---|---|
| SEC ERA File Number | 801-58015 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 16986 |
| Legal Entity Identifier | None |
Principal Office
41 S. HIGH STREETCOLUMBUS
OH
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 800.322.4600, Fax: 877-369-0618
Chief Compliance Officer
CYNTHIA J FORESTA
CHIEF COMPLIANCE OFFICER
200 PUBLIC SQUARE
PSQ604
CLEVELAND
OH
United States
Tel:
216-515-6917
C**************@*************M
(Full email address available in API data)
Regulatory Contact
JEFFREY BOARDMAN
HFA COMPLIANCE GROUP MANAGER
200 PUBLIC SQUARE
PSQ604
CLEVELAND
OH
United States
Tel:
614-480-1819
J*****************@*************M
(Full email address available in API data)
Industry Affiliates
| HUNTINGTON NATIONAL BANK | Banking or thrift institution |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HUNTINGTON BANCSHARES INCORPORATED | Domestic Entity | – | PARENT COMPANY | 07/2006 | > 75% |
| MIROBALLI, MICHAEL | Individual | – | PRESIDENT | 02/2017 | < 5% |
| RICHARDSON, STEPHEN MONROE | Individual | – | CHIEF FINANCIAL OFFICER | 07/2019 | < 5% |
| RUZ, ROGER ANTHONY | Individual | – | ROSFP | 07/2019 | < 5% |
| RUZ, ROGER ANTHONY | Individual | – | MUNICIPAL PRINCIPAL | 07/2019 | < 5% |
| RICHARDSON, STEPHEN MONROE | Individual | – | FINOP | 08/2019 | < 5% |
| MIROBALLI, MICHAEL | Individual | – | CHIEF OPERATING OFFICER | 01/2023 | < 5% |
| MIROBALLI, MICHAEL | Individual | – | BOARD MEMBER | 01/2023 | < 5% |
| HUTCHESON, DAVID JAMES | Individual | – | BOARD MEMBER | 01/2023 | < 5% |
| LOUGH, SHAWN PATRICK | Individual | – | BOARD MEMBER | 01/2023 | < 5% |
| ROBINSON, MICHAEL GENE | Individual | – | BOARD MEMBER | 01/2023 | < 5% |
| HAMILTON, MELANIE KATE-MCFARLAND | Individual | – | PRINCIPAL FINANCIAL OFFICER | 01/2018 | < 5% |
| ROBINSON, MICHAEL GENE | Individual | – | DIRECTOR OF WEALTH MANAGEMENT | 05/2023 | < 5% |
| POWER, MAUREEN LYNN | Individual | – | PRINCIPAL OPERATIONS OFFICER | 01/2023 | < 5% |
| POLIVKA, ALEX C | Individual | – | AML OFFICER | 09/2023 | < 5% |
| BOARDMAN, JEFFREY MICHAEL | Individual | – | CONFLICT OFFICER | 09/2023 | < 5% |
| BALLARD, MONICA VICKMAN | Individual | – | SECRETARY | 10/2023 | < 5% |
| FORESTA, CYNTHIA JEAN | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2024 | < 5% |