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

HORAN CAPITAL MANAGEMENT,LLC

CRD 106415

HUNT VALLEY, MD

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:b31875fd-ef93-8781-2e41-ad1ea61f3a60

Data as of May 13, 2020 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 1
On other graphs: 0
Observed: Mar 26, 2012 to May 13, 2020
21 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: $723MItem 5.F on the latest filing (2020-05-13); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $723M
Private client RAUM: $689MderivedItem 5.D individuals plus high net worth individuals
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10
Advisory employees: 6
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,372
Individual clients: 433
High net worth clients: 242
Custody, client assets: $182M
SEC number: 801-48749
CRD: 106415
Filings on the tape: 21
First filed: Mar 26, 2012
Latest filed: May 13, 2020
Organised: Limited Liability Company, Maryland

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
HEINLEIN, JOHN, GORDON	CHIEF EXECUTIVE OFFICER AND PORTFOLIO MANAGER	E	yes	02/1995	Mar 26, 2012	May 13, 2020
HORAN ENTERPRISES, INC.	GENERAL PARTNER	Na	yes	02/1995	Mar 26, 2012	May 13, 2020
ROCKSTROH, MATT	CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER	Na	yes	03/2014	Feb 10, 2015	May 13, 2020

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
2019	Feb 10, 2020	$723M	$723M	10	6	0	n/a	n/a
2018	Feb 6, 2019	$575M	$575M	10	6	0	n/a	n/a
2017	Feb 28, 2018	$605M	$605M	10	6	0	n/a	n/a
2016	Mar 1, 2017	$485M	$485M	11	6	n/a	n/a	n/a
2015	Feb 13, 2016	$442M	$442M	12	6	n/a	n/a	n/a
2014	Feb 2, 2015	$457M	$457M	10	6	n/a	n/a	n/a
2013	Jan 28, 2014	$447M	$447M	10	6	n/a	n/a	n/a
2012	Feb 21, 2013	$380M	$380M	10	6	n/a	n/a	n/a
2011	Mar 26, 2012	$396M	$396M	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
2019	$723M	$575M	25.8%	$485M	14.2%	10	10	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CONNECTUS WEALTH	4	Dec 31, 2020	Jan 11, 2021	HUNT VALLEY, MD	Firm absorbed	RIA to new firm	100.0%

Relationships

Controls (3)

← HEINLEIN, JOHN, GORDONOwnerCHIEF EXECUTIVE OFFICER AND PORTFOLIO MANAGER, ownership code E, individual
Mar 26, 2012 to presentfactForm ADV
← ROCKSTROH, MATTOwnerCHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 10, 2015 to presentfactForm ADV
← HORAN ENTERPRISES, INC.OwnerGENERAL PARTNER, ownership code NA, domestic entity
Mar 26, 2012 to presentfactForm ADV

Moved with (1)

→ CONNECTUS WEALTHRegistered adviser4 advisors, firm absorbed, same day
Dec 31, 2020 to Jan 11, 2021factForm ADV

Registered with (9)

← JAY PAUL SCHUMANAdvisorregistration: previous registration
Nov 21, 2016 to Dec 31, 2020factForm ADV
← CHRISTINA LYNN GARLANDAdvisorregistration: previous registration
Jun 27, 2019 to Dec 31, 2020factForm ADV
← MATTHEW CULLEN CHENEYAdvisorregistration: previous registration
Dec 27, 2016 to Dec 31, 2020factForm ADV
← Stavros Elias RizakosAdvisorregistration: previous registration
Dec 7, 2020 to Dec 31, 2020factForm ADV
← SAMRANG VATTANA HAIAdvisorregistration: previous registration
Nov 21, 2016 to Jul 26, 2018factForm ADV
← THOMAS JON CASPERAdvisorregistration: previous registration
Jul 2, 2009 to Jun 16, 2010factForm ADV
← RYAN STEVEN SERRECCHIAAdvisorregistration: previous registration
Mar 24, 2008 to Oct 10, 2008factForm ADV
← DAMIAN JOSEPH GALLINAAdvisorregistration: previous registration
Jul 27, 2004 to Mar 25, 2008factForm ADV
← ALLAN FREDERICK WESTCOTTAdvisorregistration: previous registration
Feb 2, 2005 to Feb 27, 2006factForm ADV

Dated events

Occurred
Feb 10, 2020
Regulatory AUM changed
Horan Capital Management,Llc reported RAUM $723.4M, up 26% from $575.0M (2019-11-12 to 2020-02-10)
Form ADVobserved 6 days ago
$148M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b31875fd-ef93-8781-2e41-ad1ea61f3a60
First observed: Mar 26, 2012
Last observed: May 13, 2020 77 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.

HORAN CAPITAL MANAGEMENT,LLC

CRD 106415

HUNT VALLEY, MD

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:b31875fd-ef93-8781-2e41-ad1ea61f3a60

Data as of May 13, 2020 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:43 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HEINLEIN, JOHN, GORDON

CHIEF EXECUTIVE OFFICER AND PORTFOLIO MANAGER

yes

02/1995

Mar 26, 2012

May 13, 2020

HORAN ENTERPRISES, INC.

GENERAL PARTNER

yes

02/1995

Mar 26, 2012

May 13, 2020

ROCKSTROH, MATT

CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER

yes

03/2014

Feb 10, 2015

May 13, 2020

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Feb 10, 2020

$723M

n/a

2018

Feb 6, 2019

$575M

n/a

2017

Feb 28, 2018

$605M

n/a

2016

Mar 1, 2017

$485M

n/a

2015

Feb 13, 2016

$442M

n/a

2014

Feb 2, 2015

$457M

n/a

2013

Jan 28, 2014

$447M

n/a

2012

Feb 21, 2013

$380M

n/a

2011

Mar 26, 2012

$396M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$723M

$575M

25.8%

$485M

14.2%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CONNECTUS WEALTH

Dec 31, 2020

Jan 11, 2021

HUNT VALLEY, MD

Firm absorbed

RIA to new firm

100.0%