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

CAREY, THOMAS, HOOVER & BREAULT ADVISORS

CAREY, THOMAS, HOOVER & BREAULT ADVISORS, INC., CRD 155330

WICHITA, KS

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:d1d1b43c-5d02-54d5-c807-7bd4c9e3414c

Data as of Feb 17, 2016 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 0
On other graphs: 0
Observed: Dec 23, 2011 to Feb 17, 2016
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: $188MItem 5.F on the latest filing (2016-02-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $188M
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: 17
Advisory employees: 11
Accounts: 1,090
SEC number: 801-71905
CRD: 155330
Filings on the tape: 21
First filed: Dec 23, 2011
Latest filed: Feb 17, 2016
Organised: Corporation, Kansas

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
BREAULT, JEFFREY, ALLEN	TREASURER, CFO	Na	yes	09/2010	Dec 23, 2011	Feb 17, 2016
BREAULT, JEFFREY, ALLEN	Treasurer	C	yes	11/2004	Dec 23, 2011	Feb 17, 2016
CAREY, JOHN, RIGBY	President	C	yes	05/2001	Dec 23, 2011	Feb 17, 2016
CAREY, JOHN, RIGBY	President	Na	yes	09/2010	Dec 23, 2011	Feb 17, 2016
CTHB INVESTMENTS, INC.	Shareholer	E	yes	09/2010	Dec 23, 2011	Feb 17, 2016
HOOVER, THOMAS, PAUL	VICE PRESIDENT, SECRETARY	Na	yes	09/2010	Dec 23, 2011	Feb 17, 2016
HOOVER, THOMAS, PAUL	Secretary	C	yes	11/2004	Dec 23, 2011	Feb 17, 2016
THOMAS, STEPHEN, DOUGLAS	VICE PRESIDENT, CHIEF COMPLIANCE OFFICER	Na	yes	09/2010	Dec 23, 2011	Feb 17, 2016
THOMAS, STEPHEN, DOUGLAS	VICE PRESIDENT	C	yes	05/2001	Dec 23, 2011	Feb 17, 2016

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
CAREY, THOMAS, HOOVER, & BREAULT, 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
2015	Dec 22, 2015	$188M	$188M	17	11	n/a	n/a	n/a
2014	Dec 24, 2014	$203M	$202M	18	12	n/a	n/a	n/a
2013	Dec 18, 2013	$205M	$203M	18	13	n/a	n/a	n/a
2012	Dec 21, 2012	$189M	$187M	18	17	n/a	n/a	n/a
2011	Dec 23, 2011	$170M	$168M	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
2015	$188M	$203M	-7.5%	$189M	-0.2%	17	18	n/a	n/a

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
KESTRA ADVISORY SERVICES, LLC	4	Dec 31, 2016	Oct 14, 2016	WICHITA, KS	Firm absorbed	Other	100.0%

Relationships

Controls (5)

← BREAULT, JEFFREY, ALLENOwnerTREASURER, ownership code C, individual
Dec 23, 2011 to presentfactForm ADV
← HOOVER, THOMAS, PAULOwnerSECRETARY, ownership code C, individual
Dec 23, 2011 to presentfactForm ADV
← THOMAS, STEPHEN, DOUGLASOwnerVICE PRESIDENT, ownership code C, individual
Dec 23, 2011 to presentfactForm ADV
← CAREY, JOHN, RIGBYOwnerPRESIDENT, ownership code C, individual
Dec 23, 2011 to presentfactForm ADV
← CTHB INVESTMENTS, INC.OwnerSHAREHOLER, ownership code E, domestic entity
Dec 23, 2011 to presentfactForm ADV

Registered with (6)

← ELIZABETH JEANNE MOELLERAdvisorregistration: previous registration
Nov 17, 2010 to Dec 31, 2016factForm ADV
← JEFFREY ALLEN BREAULTAdvisorregistration: previous registration
Nov 17, 2010 to Dec 31, 2016factForm ADV
← DONALD GRANTAdvisorregistration: previous registration
Aug 16, 2013 to Dec 31, 2016factForm ADV
← PETER GEORGE COHLMIAAdvisorregistration: previous registration
Nov 12, 2010 to Dec 31, 2016factForm ADV
← JEREMY STEVEN ASKRENAdvisorregistration: previous registration
Nov 12, 2010 to Jul 12, 2012factForm ADV
← TIMOTHY LOVELL PHARESAdvisorregistration: previous registration
Nov 16, 2010 to May 24, 2011factForm ADV

Moved with (1)

→ KESTRA ADVISORY SERVICES, LLCRegistered adviser4 advisors, firm absorbed, same day
Dec 31, 2016 to Oct 14, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d1d1b43c-5d02-54d5-c807-7bd4c9e3414c
First observed: Dec 23, 2011
Last observed: Feb 17, 2016 128 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.

CAREY, THOMAS, HOOVER & BREAULT ADVISORS

CAREY, THOMAS, HOOVER & BREAULT ADVISORS, INC., CRD 155330

WICHITA, KS

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:d1d1b43c-5d02-54d5-c807-7bd4c9e3414c

Data as of Feb 17, 2016 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:27 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BREAULT, JEFFREY, ALLEN

TREASURER, CFO

yes

09/2010

Dec 23, 2011

Feb 17, 2016

BREAULT, JEFFREY, ALLEN

Treasurer

yes

11/2004

Dec 23, 2011

Feb 17, 2016

CAREY, JOHN, RIGBY

President

yes

05/2001

Dec 23, 2011

Feb 17, 2016

CAREY, JOHN, RIGBY

President

yes

09/2010

Dec 23, 2011

Feb 17, 2016

CTHB INVESTMENTS, INC.

Shareholer

yes

09/2010

Dec 23, 2011

Feb 17, 2016

HOOVER, THOMAS, PAUL

VICE PRESIDENT, SECRETARY

yes

09/2010

Dec 23, 2011

Feb 17, 2016

HOOVER, THOMAS, PAUL

Secretary

yes

11/2004

Dec 23, 2011

Feb 17, 2016

THOMAS, STEPHEN, DOUGLAS

VICE PRESIDENT, CHIEF COMPLIANCE OFFICER

yes

09/2010

Dec 23, 2011

Feb 17, 2016

THOMAS, STEPHEN, DOUGLAS

VICE PRESIDENT

yes

05/2001

Dec 23, 2011

Feb 17, 2016

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CAREY, THOMAS, HOOVER, & BREAULT, INC.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Dec 22, 2015

$188M

n/a

2014

Dec 24, 2014

$203M

$202M

n/a

2013

Dec 18, 2013

$205M

$203M

n/a

2012

Dec 21, 2012

$189M

$187M

n/a

2011

Dec 23, 2011

$170M

$168M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

$188M

$203M

-7.5%

$189M

-0.2%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

KESTRA ADVISORY SERVICES, LLC

Dec 31, 2016

Oct 14, 2016

WICHITA, KS

Firm absorbed

Other

100.0%