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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

HOWARD BAILEY SECURITIES, LLC

CRD 282712

FORT WAYNE, IN

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:e60fd8d7-0da4-1c2c-4ef0-26b96bfc521d

Data as of Jul 22, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:41 PM UTC and rebuilt at most every 15 minutes.

Relationships: 28
Dated events: 15
On other graphs: 0
Observed: Dec 26, 2018 to Jul 22, 2026
22 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: independent wealth managerderivedprivate_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $583MItem 5.F on the latest filing (2026-07-22); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $583M
Private client RAUM: $574MderivedItem 5.D individuals plus high net worth individuals
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 11
RAUM per advisor: $53.0Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 46
Advisory employees: 15
Offices: 4Schedule D 1.F, beyond the principal office
Accounts: 4,056
Individual clients: 1,617
High net worth clients: 83
Custody, client assets: $75.7M
SEC number: 801-114636
CRD: 282712
Filings on the tape: 22
First filed: Dec 26, 2018
Latest filed: Jul 22, 2026
Organised: Limited Liability Company, IN

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
ROBERT CHARLES MCCOY	Certified Financial Planner	FORT WAYNE, IN	7	29	n/a	no
MARSHAL NEIL JOHNSON	Certified Financial Planner	FORT WAYNE, IN	7	19	3	no
CASEY BAILEY WEADE	Certified Financial Planner\|Chartered Financial Consultant	FORT WAYNE, IN	7	16	2	no
REID MCKINNEY BRAUN	n/a	FORT WAYNE, IN	7	11	n/a	no
Isaac James Berg	Chartered Financial Consultant	FORT WAYNE, IN	4	10	n/a	no
BRIAN ROBERT SINGER	n/a	Brownsburg, IN	4	32	1	no
Kelsey Lee Dagle	n/a	FORT WAYNE, IN	3	14	n/a	no
JASON BRADLEY PRUITT	n/a	FORT WAYNE, IN	2	10	n/a	no
Grant Tyler Welter	Chartered Financial Consultant	FORT WAYNE, IN \| Carmel, IN	2	10	n/a	no
Trae Ryan Hassebroek	n/a	Brownsburg, IN	0	12	n/a	no
Alec Joseph Sanderson	n/a	FORT WAYNE, IN	0	10	n/a	no

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
Chambers, Matthew, Philip Christopher	CHIEF OPERATING OFFICER	Na	yes	08/2021	Apr 1, 2022	Nov 20, 2024
JOHNSON, MARSHAL, NEIL	CHIEF COMPLIANCE OFFICER	Na	yes	10/2024	Nov 20, 2024	Nov 20, 2024
WEADE, CASEY, BAILEY	CHIEF EXECUTIVE OFFICER	E	yes	03/2016	Dec 26, 2018	Nov 20, 2024

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
HOWARD BAILEY FINANCIAL, INC.	n/a	n/a	n/a	Y	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Brownsburg	In	United States	2	no
Mishawaka	In	United States	2	no
Perrysburg	Oh	United States	1	no

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; showing 8 of 9

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026	$583M	$583M	46	15	4	n/a	n/a
2024	Mar 27, 2025	$485M	$485M	16	16	4	n/a	n/a
2023	Mar 31, 2024	$463M	$432M	15	14	3	n/a	n/a
2022	Mar 31, 2023	$373M	$359M	12	12	3	n/a	n/a
2021	Apr 1, 2022	$340M	$324M	12	12	1	n/a	n/a
2020	Mar 31, 2021	$246M	$246M	8	8	1	n/a	n/a
2019	Mar 30, 2020	$188M	$186M	7	7	1	n/a	n/a
2018	Mar 28, 2019	$117M	$116M	6	6	1	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	4	-4	36.4%	0	2	0	1	7

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
2025	$583M	$485M	20.2%	$373M	16.0%	46	16	4	4

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	2	Apr 13, 2017	Mar 6, 2019	SARASOTA, FL	Team lift out	Other	1.0%

Relationships

Registered with (23)

← Alec Joseph SandersonAdvisorregistration: current employment
Aug 6, 2026 to presentfactForm ADV
← Trae Ryan HassebroekAdvisorregistration: current employment
Apr 9, 2026 to presentfactForm ADV
← Grant Tyler WelterAdvisorregistration: current employment
Jun 4, 2024 to presentfactForm ADV
← JASON BRADLEY PRUITTAdvisorregistration: current employment
Feb 28, 2024 to presentfactForm ADV
← Kelsey Lee DagleAdvisorregistration: current employment
Jan 9, 2023 to presentfactForm ADV
← BRIAN ROBERT SINGERAdvisorregistration: current employment
Mar 30, 2022 to presentfactForm ADV
← Isaac James BergAdvisorregistration: current employment
Mar 11, 2022 to presentfactForm ADV
← REID MCKINNEY BRAUNAdvisorregistration: current employment
Jun 28, 2019 to presentfactForm ADV
← ROBERT CHARLES MCCOYAdvisorregistration: current employment
Mar 6, 2019 to presentfactForm ADV
← MARSHAL NEIL JOHNSONAdvisorregistration: current employment
Mar 6, 2019 to presentfactForm ADV
← CASEY BAILEY WEADEAdvisorregistration: current employment
Mar 6, 2019 to presentfactForm ADV
← TYLER RICHARD WYSSAdvisorregistration: previous registration
Sep 15, 2023 to Jul 31, 2026factForm ADV
← Christopher Louis HorokyAdvisorregistration: previous registration
Mar 6, 2019 to Jun 29, 2026factForm ADV
← RYAN DEANE ZEEBAdvisorregistration: previous registration
Nov 9, 2023 to May 1, 2026factForm ADV
← JOHN RYAN NUECHTERLEINAdvisorregistration: previous registration
Jan 7, 2017 to Dec 10, 2025factForm ADV
← SARA ANN PROVINESAdvisorregistration: previous registration
Jul 25, 2022 to Mar 28, 2025factForm ADV
← David Scott LittrellAdvisorregistration: previous registration
Feb 10, 2023 to Aug 5, 2024factForm ADV
← Christopher HylenAdvisorregistration: previous registration
Jun 25, 2023 to Nov 21, 2023factForm ADV
← Matthew PostellAdvisorregistration: previous registration
May 1, 2023 to May 17, 2023factForm ADV
← Bradley Milinko SimichAdvisorregistration: previous registration
Nov 23, 2018 to Sep 20, 2022factForm ADV
← JAMES A DEWESEAdvisorregistration: previous registration
Apr 4, 2022 to Sep 6, 2022factForm ADV
← James KennedyAdvisorregistration: previous registration
Jun 27, 2017 to Jan 31, 2018factForm ADV
← Nathan J DeVauxAdvisorregistration: previous registration
Mar 30, 2016 to Aug 11, 2016factForm ADV

Controls (3)

← JOHNSON, MARSHAL, NEILOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 20, 2024 to Nov 20, 2024factForm ADV
← WEADE, CASEY, BAILEYOwnerCHIEF EXECUTIVE OFFICER, ownership code E, individual
Dec 26, 2018 to Nov 20, 2024factForm ADV
← Chambers, Matthew, Philip ChristopherOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Apr 1, 2022 to Nov 20, 2024factForm ADV

Moved with (1)

← GLOBAL FINANCIAL PRIVATE CAPITAL, INC.Registered adviser2 advisors, team lift out, same day
Apr 13, 2017 to Mar 6, 2019factForm ADV

Dated events

Occurred
Jul 31, 2026
Advisor changed firm
Tyler Richard Wyss left Howard Bailey Securities, Llc for Golden Reserve Retirement, Llc (registered 2026-08-12)
Form ADVobserved 3 days ago
Occurred
Jun 29, 2026
Advisor changed firm
Christopher Louis Horoky left Howard Bailey Securities, Llc for Horoky Private Wealth, Llc (registered 2026-06-24)
Form ADVobserved 3 days ago
Occurred
May 1, 2026
Advisor changed firm
Ryan Deane Zeeb left Howard Bailey Securities, Llc for Ministry Partners Securities, Llc (registered 2026-04-29)
Form ADVobserved 3 days ago
Occurred
Dec 10, 2025
Advisor changed firm
John Ryan Nuechterlein left Howard Bailey Securities, Llc for Buffalo Capital Advisors Llc (registered 2026-01-05)
Form ADVobserved 3 days ago
Occurred
Mar 28, 2025
Advisor changed firm
Sara Ann Provines left Howard Bailey Securities, Llc for Kingsview Wealth Management, Llc (registered 2025-03-10)
Form ADVobserved 3 days ago
Occurred
Nov 20, 2024
Control person joined
Neil Marshal Johnson (Chief Compliance Officer) appeared on Schedule A of Howard Bailey Securities, Llc
Form ADVobserved 3 days ago
Occurred
Nov 20, 2024
Control person left
Henry John Harper (Chief Compliance Officer) no longer on Schedule A of Howard Bailey Securities, Llc (listed 2024-03-31, absent 2024-11-20)
Form ADVobserved 3 days ago
Occurred
Aug 5, 2024
Advisor changed firm
David Scott Littrell left Howard Bailey Securities, Llc for Independent Financial Partners (registered 2024-11-06)
Form ADVobserved 3 days ago
Occurred
Nov 21, 2023
Advisor changed firm
Christopher Hylen left Howard Bailey Securities, Llc for Wealth Enhancement Advisory Services, Llc (registered 2025-06-13)
Form ADVobserved 3 days ago
Occurred
May 17, 2023
Advisor changed firm
Matthew Postell left Howard Bailey Securities, Llc for Pruco Securities, Llc (registered 2023-08-02)
Form ADVobserved 3 days ago
Occurred
Sep 20, 2022
Advisor changed firm
Bradley Milinko Simich left Howard Bailey Securities, Llc for Gradient Advisors, Llc (registered 2022-11-17)
Form ADVobserved 3 days ago
Occurred
Sep 6, 2022
Advisor changed firm
James A Dewese left Howard Bailey Securities, Llc for Edward Jones (registered 2025-03-21)
Form ADVobserved 3 days ago
Occurred
Apr 1, 2022
Control person joined
Philip Christopher Matthew Chambers (Chief Operations Officer) appeared on Schedule A of Howard Bailey Securities, Llc
Form ADVobserved 3 days ago
Occurred
Nov 12, 2020
Control person joined
Henry John Harper (Chief Compliance Officer) appeared on Schedule A of Howard Bailey Securities, Llc
Form ADVobserved 3 days ago
Occurred
Dec 26, 2018
First Form ADV filing
Howard Bailey Securities, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 3 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e60fd8d7-0da4-1c2c-4ef0-26b96bfc521d
First observed: Dec 26, 2018
Last observed: Jul 22, 2026 58 days 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.

HOWARD BAILEY SECURITIES, LLC

CRD 282712

FORT WAYNE, IN

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:e60fd8d7-0da4-1c2c-4ef0-26b96bfc521d

Data as of Jul 22, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:41 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

ROBERT CHARLES MCCOY

Certified Financial Planner

FORT WAYNE, IN

n/a

MARSHAL NEIL JOHNSON

Certified Financial Planner

FORT WAYNE, IN

CASEY BAILEY WEADE

Certified Financial Planner|Chartered Financial Consultant

FORT WAYNE, IN

REID MCKINNEY BRAUN

n/a

FORT WAYNE, IN

n/a

Isaac James Berg

Chartered Financial Consultant

FORT WAYNE, IN

n/a

BRIAN ROBERT SINGER

n/a

Brownsburg, IN

Kelsey Lee Dagle

n/a

FORT WAYNE, IN

n/a

JASON BRADLEY PRUITT

n/a

FORT WAYNE, IN

n/a

Grant Tyler Welter

Chartered Financial Consultant

FORT WAYNE, IN | Carmel, IN

n/a

Trae Ryan Hassebroek

n/a

Brownsburg, IN

n/a

Alec Joseph Sanderson

n/a

FORT WAYNE, IN

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

Chambers, Matthew, Philip Christopher

CHIEF OPERATING OFFICER

yes

08/2021

Apr 1, 2022

Nov 20, 2024

JOHNSON, MARSHAL, NEIL

CHIEF COMPLIANCE OFFICER

yes

10/2024

Nov 20, 2024

WEADE, CASEY, BAILEY

CHIEF EXECUTIVE OFFICER

yes

03/2016

Dec 26, 2018

Nov 20, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

HOWARD BAILEY FINANCIAL, INC.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Brownsburg

United States

Mishawaka

United States

Perrysburg

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 31, 2026

$583M

n/a

2024

Mar 27, 2025

$485M

n/a

2023

Mar 31, 2024

$463M

$432M

n/a

2022

Mar 31, 2023

$373M

$359M

n/a

2021

Apr 1, 2022

$340M

$324M

n/a

2020

Mar 31, 2021

$246M

n/a

2019

Mar 30, 2020

$188M

$186M

n/a

2018

Mar 28, 2019

$117M

$116M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-4

36.4%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$583M

$485M

20.2%

$373M

16.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

Apr 13, 2017

Mar 6, 2019

SARASOTA, FL

Team lift out

Other

1.0%