HORTER INVESTMENT MANAGEMENT, LLC
Adviser information for HORTER INVESTMENT MANAGEMENT, LLC last updated from Form ADV on March 26th, 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 | Ohio, United States |
Employees
| Total Number of Employees | 44 |
|---|---|
| Investment Advisory/Research | 32 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 30 |
| Licensed Agents of an Insurance Company | 30 |
| No. of Firms/People that Solicit Clients | 29 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 3,425 | $211.5M |
| Non-Discretionary | 24 | $2.7M |
| Total | 3,449 | $214.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,199 | $128.6M |
| HNW Individuals | 69 | $78.9M |
| 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 | 8 | $1.3M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 12 | $1.3M |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 24 | $4.1M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Publication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-67471 |
|---|---|
| SEC ERA File Number | 801-67471 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 119880 |
| Legal Entity Identifier | None |
Principal Office
11726 SEVEN GABLES RDSYMMES TOWNSHIP
CINCINNATI
OH
United States
Monday - Friday, 8:30 - 5:00
Tel: 513-984-9933, Fax: 513-984-5219
Chief Compliance Officer
ROBERT L HOPKINS
11726 SEVEN GABLES RD
SYMMES TOWNSHIP
CINCINNATI
OH
United States
Tel:
513-984-9933
Fax:
513-258-2064
R*******@**********M
(Full email address available in API data)
Regulatory Contact
KEITH SCHMIDT
PRESIDENT
11726 SEVEN GABLES RD
SYMMES TOWNSHIP
CINCINNATI
OH
United States
Tel:
513-984-9933
Fax:
513-984-5219
K*******@**********M
(Full email address available in API data)
Industry Affiliates
| HORTER FINANCIAL STRATEGIES | Insurance company or agency |
| TACTICAL FUND ADVISORS, 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 |
|---|---|---|---|---|---|
| HORTER, DREW, KENT | Individual | – | CEO | 05/1991 | > 75% |
| Hetzer, Kevin, Craig | Individual | – | CHIEF OPERATING OFFICER | 09/2019 | < 5% |
| HOPKINS, ROBERT, LEE | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2023 | < 5% |
| SCHMIDT, KEITH, ANDREW | Individual | – | PRESIDENT | 10/2023 | < 5% |