DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Huber Financial Group, Ltd.

Former SEC-registered adviserLincolnshire, IllinoisCRD 106331SEC 801-45470IAPD
Legal name Huber Financial Group Ltd
Latest filing Mar 23, 2017
First filing on the tape Jan 30, 2012 · 14 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$0 as of Mar 23, 2017
Mar 22, 2012$571M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 23, 2017
Mar 25, 20137 then
Employees (5.A)1 as of Mar 23, 2017
Mar 25, 201314 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 23, 2017; every figure names its basis
RAUM per advisor
$0derivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Joseph David Huber · Ownercontrol
      since 10/1988 · owns 75% or more
    • Robert Philip Huber · President
      since 01/2013 · owns less than 5%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Financial planning clients · 251-500 to 0
      Mar 24, 2014 to Mar 3, 2015
    • Business name · HUBER FINANCIAL to HUBER FINANCIAL GROUP, LTD.
      Jul 24, 2013 to Jul 29, 2013
    • Accounts · 3,501 to 0
      May 6, 2013 to Jul 24, 2013
    • Advisory employees · 8 to 1
      May 6, 2013 to Jul 24, 2013
    • Advisory activities · 6 to 2
      May 6, 2013 to Jul 24, 2013
    • Employees · 14 to 1
      May 6, 2013 to Jul 24, 2013
    • State-registered IARs · 7 to 1
      May 6, 2013 to Jul 24, 2013
    • Discretionary RAUM · $672M to $0
      May 6, 2013 to Jul 24, 2013
    • RAUM · $672M to $0
      May 6, 2013 to Jul 24, 2013
    • Accounts · 2,734 to 3,501
      Aug 1, 2012 to Mar 25, 2013
    • Advisory employees · unset to 8.0
      Aug 1, 2012 to Mar 25, 2013
    • Employees · unset to 14.0
      Aug 1, 2012 to Mar 25, 2013
    • Financial planning clients · 101-250 to 251-500
      Aug 1, 2012 to Mar 25, 2013
    • State-registered IARs · unset to 7.0
      Aug 1, 2012 to Mar 25, 2013
    • Discretionary RAUM · $571M to $672M
      Aug 1, 2012 to Mar 25, 2013
    • RAUM · $571M to $672M
      Aug 1, 2012 to Mar 25, 2013
    • HQ city · BUFFALO GROVE to LINCOLNSHIRE
      Mar 22, 2012 to Jul 31, 2012
    • Accounts · 2,517 to 2,734
      Feb 23, 2012 to Mar 22, 2012
    • Discretionary RAUM · $549M to $571M
      Feb 23, 2012 to Mar 22, 2012
    • RAUM · $549M to $571M
      Feb 23, 2012 to Mar 22, 2012
    • Related insurance company · true to false
      Feb 23, 2012 to Mar 22, 2012
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026