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.
SEC-registered adviser
Halter Ferguson Financial Inc
Latest filing Jul 27, 2026
First filing on the tape Jan 11, 2012 · 35 filings
SEC status approved since Feb 18, 2000
RAUM
$705M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$698M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$88.1M
derived; firm RAUM over IAPD count
Employees
15
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$705M as of Jul 27, 2026
Mar 22, 2012$132M then
HNW client RAUM$650M as of Jul 27, 2026
Mar 12, 2018$85.5M then
State-registered IARs (5.B.3)5 as of Jul 27, 2026
Mar 22, 20120 then
Employees (5.A)15 as of Jul 27, 2026
Jan 29, 20133 then
Private funds1 as of Jul 27, 2026
Mar 26, 20261 then
RAUM +45% over the last fiscal year+38% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Jul 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $88.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $655,159derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.9derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +45%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.2%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $528M, 193 clientsreportedItem 9.A
- 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
- buys or sells securities as principal to or from clients (8.A.2)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$650M92%
- Individuals$48.3M6.9%
- Pooled investment vehicles$3.8M0.5%
- Charitable organizations$3.0M0.4%
- Individual clients
- 97reported
- HNW clients
- 194reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,076reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $528M for 193 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.99 fund_share=0.01 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Bradford Scott FergusonChartered Financial Analyst | Carmel, In | Mar 20, 2006 | 21 y | 0 |
| Tiffany Christina WhiteCertified Financial Planner | Carmel, In | Jan 5, 2015 | 19 y | 0 |
| Matthew Charles Smith | Carmel, In | May 1, 2023 | 15 y | 0 |
| Isaac Christopher Yops | Carmel, In | Nov 16, 2023 | 10 y | 0 |
| Benjamin Michel Weber | Carmel, In | Sep 17, 2024 | 13 y | 0 |
| Henry M Dierkes | Carmel, In | Mar 31, 2026 | 10 y | 0 |
| Lisa Marie Hileman AngeloChartered Financial Consultant | Carmel, In | May 11, 2026 | 10 y | 0 |
| Jenel Amber Darland | Carmel, In | Aug 3, 2026 | 14 y | 7 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Jenel Amber Darland from Mercer Global Advisors Inc.Aug 3, 2026 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Scott Bradford Ferguson · President And Chief Compliance Officercontrolsince 02/2020 · owns 75% or more
Related persons
Schedule D 7.A
- Good Soil Investment Management LLCinvestment advisern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Carmel, In · principal | 8 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Apr 13, 2026RAUM (Item 5.F) moved from $487,810,150 to $704,950,608 (+45.0%) between the annual amendments of 2025-02-26 and 2026-04-13; the peer median change was +16.0% (1386 comparable advisers, 92.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,386) · 92% percentile
What changed
consecutive filings, newest first
- Accounts · 950 to 1,076Oct 1, 2025 to Mar 26, 2026
- Advisory activities · 3 to 4Oct 1, 2025 to Mar 26, 2026
- HNW clients · 148 to 194Oct 1, 2025 to Mar 26, 2026
- Individual clients · 126 to 97Oct 1, 2025 to Mar 26, 2026
- Pooled vehicle clients · unset to 1.0Oct 1, 2025 to Mar 26, 2026
- Assets in custody · $49.0M to $528MOct 1, 2025 to Mar 26, 2026
- Employees · 12 to 15Oct 1, 2025 to Mar 26, 2026
- State-registered IARs · 4 to 5Oct 1, 2025 to Mar 26, 2026
- Private funds · unset to 1Oct 1, 2025 to Mar 26, 2026
- Discretionary RAUM · $488M to $705MOct 1, 2025 to Mar 26, 2026
- HNW RAUM · $425M to $650MOct 1, 2025 to Mar 26, 2026
- Individual RAUM · $60.5M to $48.3MOct 1, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · unset to 3834000.0Oct 1, 2025 to Mar 26, 2026
- RAUM · $488M to $705MOct 1, 2025 to Mar 26, 2026
- Accounts · 880 to 950Sep 17, 2024 to Feb 26, 2025
- Advisory employees · 8 to 7Sep 17, 2024 to Feb 26, 2025
- HNW clients · 129 to 148Sep 17, 2024 to Feb 26, 2025
- Individual clients · 135 to 126Sep 17, 2024 to Feb 26, 2025
- Assets in custody · $38.5M to $49.0MSep 17, 2024 to Feb 26, 2025
- Employees · 9 to 12Sep 17, 2024 to Feb 26, 2025
- Financial planning clients · 101-250 to 101-250Sep 17, 2024 to Feb 26, 2025
- State-registered IARs · 3 to 4Sep 17, 2024 to Feb 26, 2025
- Discretionary RAUM · $378M to $488MSep 17, 2024 to Feb 26, 2025
- HNW RAUM · $317M to $425MSep 17, 2024 to Feb 26, 2025
- Individual RAUM · $58.6M to $60.5MSep 17, 2024 to Feb 26, 2025
- RAUM · $378M to $488MSep 17, 2024 to Feb 26, 2025
- Accounts · 824 to 880Oct 13, 2023 to Mar 1, 2024
- HNW clients · 87 to 129Oct 13, 2023 to Mar 1, 2024
- Individual clients · 180 to 135Oct 13, 2023 to Mar 1, 2024
- Assets in custody · $16.6M to $38.5MOct 13, 2023 to Mar 1, 2024
- Discretionary RAUM · $267M to $378MOct 13, 2023 to Mar 1, 2024
- HNW RAUM · $192M to $317MOct 13, 2023 to Mar 1, 2024
- Individual RAUM · $72.1M to $58.6MOct 13, 2023 to Mar 1, 2024
- Non-discretionary RAUM · $129,763 to $0Oct 13, 2023 to Mar 1, 2024
- Pension RAUM · 900358.0 to unsetOct 13, 2023 to Mar 1, 2024
- RAUM · $267M to $378MOct 13, 2023 to Mar 1, 2024
- Related adviser · false to trueFeb 9, 2023 to May 17, 2023
- Accounts · 752 to 824Oct 31, 2022 to Feb 9, 2023
- HNW clients · 118 to 87Oct 31, 2022 to Feb 9, 2023
- Individual clients · 134 to 180Oct 31, 2022 to Feb 9, 2023
Signals
5 dated events
- Halter Ferguson Financial Inc reported RAUM $705.0M, up 45% from $487.8M (2025-10-01 to 2026-03-26)Mar 26, 2026 · RAUM change · derived
- Halter Ferguson Financial Inc reported RAUM $487.8M, up 29% from $378.2M (2024-09-17 to 2025-02-26)Feb 26, 2025 · RAUM change · derived
- Halter Ferguson Financial Inc reported RAUM $378.2M, up 42% from $266.7M (2023-10-13 to 2024-03-01)Mar 1, 2024 · RAUM change · derived
- Halter Ferguson Financial Inc reported RAUM $300.5M, up 70% from $176.4M (2020-08-12 to 2021-03-08)Mar 8, 2021 · RAUM change · derived
- K Scott Ferguson (President, Chief Compliance Officer) no longer on Schedule A of Halter Ferguson Financial Inc (listed 2019-11-01, absent 2020-03-12)Mar 12, 2020 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- Halter Ferguson Financial Inc · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Business phone
- 317-875-0202reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 317-875-0909reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 336-323-8525reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/5428171reportedpublic record, Form ADV, Sep 17, 2026
- Website
- lumasenti.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 317-875-0202reportedpublic record, Form ADV, Jul 27, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $88.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026