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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

HABERER REGISTERED INVESTMENT ADVISOR INC

CRD 110382

CINCINNATI, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2750d32a-2a16-9e50-742a-9177d281ef0f

Data as of Mar 13, 2015 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Mar 13, 2015
12 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $314MItem 5.F on the latest filing (2015-03-13); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $301M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 11
Advisory employees: 4
Accounts: 311
SEC number: 801-13081
CRD: 110382
Filings on the tape: 12
First filed: Mar 29, 2012
Latest filed: Mar 13, 2015
Organised: Corporation, Ohio

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CANERIS, ADONIS, ANTHONY	VP, SECRETARY, SR. WEALTH ADVISOR, CHIEF COMPLIANCE OFFICER	Na	yes	07/2013	Mar 29, 2012	Mar 13, 2015
HUNTINGTON BANCSHARES, INC.	Shareholder	E	yes	03/2006	Mar 29, 2012	Mar 13, 2015
HUNTINGTON NATIONAL BANK	Shareholder	E	yes	03/2006	Mar 29, 2012	Mar 13, 2015
SMITH, GREGORY, A.	PRESIDENT, TREASURER AND MANAGING DIRECTOR, BOARD MEMBER	Na	yes	07/2013	Mar 29, 2012	Mar 13, 2015
WING, CHRISTIAN, ROBERTS	VP, SR. PORTFOLIO MANAGER, CHIEF INVESTMENT OFFICER AND BOARD MEMBER	Na	yes	10/2013	Sep 12, 2013	Mar 13, 2015
REZABEK, JOSEPH, L	HABERER BOARD MEMBER	Na	no	02/2014	Mar 31, 2014	Mar 13, 2015

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
THE HUNTINGTON INVESTMENT COMPANY	n/a	Bd affiliated wealth	$7.9B	N	yes	n/a
HUNTINGTON ASSET ADVISORS, INC.	n/a	Asset manager	$2.6B	N	yes	n/a
THE HUNTINGTON NATIONAL BANK	n/a	n/a	n/a	Y	yes	Oh
UNIFIED FINANCIAL SECURITIES, INC.	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Mar 13, 2015	$314M	$301M	11	4	n/a	n/a	n/a
2013	Mar 31, 2014	$398M	$373M	13	4	n/a	n/a	n/a
2012	Mar 27, 2013	$678M	$635M	14	5	n/a	n/a	n/a
2011	Mar 29, 2012	$773M	$728M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	$314M	$398M	-21.0%	$773M	-26.0%	11	13	n/a	n/a

Relationships

Affiliated with (2)

→ RATIONAL ADVISORS, INC.Registered adviserother investment adviser, common control
factForm ADV
→ HUNTINGTON FINANCIAL ADVISORSRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV

Owns (1)

← REZABEK, JOSEPH, LOwnerHABERER BOARD MEMBER, ownership code NA, individual
Mar 31, 2014 to presentfactForm ADV

Controls (5)

← CANERIS, ADONIS, ANTHONYOwnerVP, SECRETARY, SR. WEALTH ADVISOR, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← WING, CHRISTIAN, ROBERTSOwnerVP, SR. PORTFOLIO MANAGER, CHIEF INVESTMENT OFFICER AND BOARD MEMBER, ownership code NA, individual
Sep 12, 2013 to presentfactForm ADV
← SMITH, GREGORY, A.OwnerPRESIDENT, TREASURER AND MANAGING DIRECTOR, BOARD MEMBER, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← HUNTINGTON BANCSHARES, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 29, 2012 to presentfactForm ADV
← HUNTINGTON NATIONAL BANKOwnerSHAREHOLDER, ownership code E, domestic entity
Mar 29, 2012 to presentfactForm ADV

Registered with (6)

← Ryan DetrickAdvisorregistration: previous registration
Nov 7, 2014 to Jun 19, 2015factForm ADV
← NATHAN ANDREW BISHOPAdvisorregistration: previous registration
Sep 19, 2008 to Oct 11, 2013factForm ADV
← KRISTINE SUE O'BRIENAdvisorregistration: previous registration
Apr 24, 2007 to Nov 21, 2011factForm ADV
← BRUCE MASONAdvisorregistration: previous registration
Apr 7, 2008 to Jun 11, 2008factForm ADV
← MARC ERLE HENNAdvisorregistration: previous registration
May 21, 2002 to Jan 14, 2008factForm ADV
← MARK HENRY JOSEFCZYKAdvisorregistration: previous registration
Oct 6, 1999 to Feb 15, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2750d32a-2a16-9e50-742a-9177d281ef0f
First observed: Mar 29, 2012
Last observed: Mar 13, 2015 140 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

HABERER REGISTERED INVESTMENT ADVISOR INC

CRD 110382

CINCINNATI, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2750d32a-2a16-9e50-742a-9177d281ef0f

Data as of Mar 13, 2015 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:08 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CANERIS, ADONIS, ANTHONY

VP, SECRETARY, SR. WEALTH ADVISOR, CHIEF COMPLIANCE OFFICER

yes

07/2013

Mar 29, 2012

Mar 13, 2015

HUNTINGTON BANCSHARES, INC.

Shareholder

yes

03/2006

Mar 29, 2012

Mar 13, 2015

HUNTINGTON NATIONAL BANK

Shareholder

yes

03/2006

Mar 29, 2012

Mar 13, 2015

SMITH, GREGORY, A.

PRESIDENT, TREASURER AND MANAGING DIRECTOR, BOARD MEMBER

yes

07/2013

Mar 29, 2012

Mar 13, 2015

WING, CHRISTIAN, ROBERTS

VP, SR. PORTFOLIO MANAGER, CHIEF INVESTMENT OFFICER AND BOARD MEMBER

yes

10/2013

Sep 12, 2013

Mar 13, 2015

REZABEK, JOSEPH, L

HABERER BOARD MEMBER

02/2014

Mar 31, 2014

Mar 13, 2015

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

THE HUNTINGTON INVESTMENT COMPANY

n/a

Bd affiliated wealth

$7.9B

yes

n/a

HUNTINGTON ASSET ADVISORS, INC.

n/a

Asset manager

$2.6B

yes

n/a

THE HUNTINGTON NATIONAL BANK

n/a

yes

UNIFIED FINANCIAL SECURITIES, INC.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Mar 13, 2015

$314M

$301M

n/a

2013

Mar 31, 2014

$398M

$373M

n/a

2012

Mar 27, 2013

$678M

$635M

n/a

2011

Mar 29, 2012

$773M

$728M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

$314M

$398M

-21.0%

$773M

-26.0%

n/a