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

Haberer Registered Investment Advisor Inc

Former SEC-registered adviserCincinnati, OhioCRD 110382SEC 801-13081IAPD
Latest filing Mar 13, 2015
First filing on the tape Mar 29, 2012 · 12 filings
RAUM
$314M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$314M as of Mar 13, 2015
Mar 29, 2012$773M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 13, 2015
Mar 27, 20136 then
Employees (5.A)11 as of Mar 13, 2015
Mar 27, 201314 then
Private funds: no history
RAUM -21% over the last fiscal year-26% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Mar 13, 2015; every figure names its basis
RAUM per advisor
$78.5MderivedRAUM 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
$1.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
96%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.8derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-21%derivedbetween the last two annual amendments
Advisor growth, one year
-20%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
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
311reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Anthony Adonis Caneris · Vp, Secretary, Sr. Wealth Advisor, Chief Compliance Officercontrol
    since 07/2013 · owns less than 5%
  • A. Gregory Smith · President, Treasurer And Managing Director, Board Membercontrol
    since 07/2013 · owns less than 5%
  • Roberts Christian Wing · Vp, Sr. Portfolio Manager, Chief Investment Officer And Board Membercontrol
    since 10/2013 · owns less than 5%
  • L Joseph Rezabek · Haberer Board Member
    since 02/2014 · owns less than 5%
Entity owners
  • Huntington National Bank · Shareholder
    direct · owns 75% or more
  • Huntington Bancshares, Inc. · Shareholder
    indirect · owns 75% or more of Huntington National Bank
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 405 to 311
    Aug 14, 2014 to Mar 13, 2015
  • Employees · 13 to 11
    Aug 14, 2014 to Mar 13, 2015
  • Financial planning clients · 51-100 to 26-50
    Aug 14, 2014 to Mar 13, 2015
  • State-registered IARs · 5 to 4
    Aug 14, 2014 to Mar 13, 2015
  • Discretionary RAUM · $373M to $301M
    Aug 14, 2014 to Mar 13, 2015
  • Non-discretionary RAUM · $24.4M to $12.8M
    Aug 14, 2014 to Mar 13, 2015
  • RAUM · $398M to $314M
    Aug 14, 2014 to Mar 13, 2015
  • Accounts · 444 to 405
    Nov 13, 2013 to Mar 31, 2014
  • Employees · 12 to 13
    Nov 13, 2013 to Mar 31, 2014
  • Discretionary RAUM · $438M to $373M
    Nov 13, 2013 to Mar 31, 2014
  • Non-discretionary RAUM · $20.4M to $24.4M
    Nov 13, 2013 to Mar 31, 2014
  • RAUM · $459M to $398M
    Nov 13, 2013 to Mar 31, 2014
  • Accounts · 547 to 444
    Sep 12, 2013 to Nov 13, 2013
  • Discretionary RAUM · $635M to $438M
    Sep 12, 2013 to Nov 13, 2013
  • Non-discretionary RAUM · $37.3M to $20.4M
    Sep 12, 2013 to Nov 13, 2013
  • RAUM · $672M to $459M
    Sep 12, 2013 to Nov 13, 2013
  • Accounts · 561 to 547
    Mar 27, 2013 to Sep 12, 2013
  • Advisory employees · 5 to 4
    Mar 27, 2013 to Sep 12, 2013
  • Employees · 14 to 12
    Mar 27, 2013 to Sep 12, 2013
  • State-registered IARs · 6 to 5
    Mar 27, 2013 to Sep 12, 2013
  • Discretionary RAUM · $635M to $635M
    Mar 27, 2013 to Sep 12, 2013
  • Non-discretionary RAUM · $43.3M to $37.3M
    Mar 27, 2013 to Sep 12, 2013
  • RAUM · $678M to $672M
    Mar 27, 2013 to Sep 12, 2013
  • Accounts · 595 to 561
    Jan 14, 2013 to Mar 27, 2013
  • Advisory activities · 4 to 3
    Jan 14, 2013 to Mar 27, 2013
  • Discretionary RAUM · $617M to $635M
    Jan 14, 2013 to Mar 27, 2013
  • Non-discretionary RAUM · $46.9M to $43.3M
    Jan 14, 2013 to Mar 27, 2013
  • RAUM · $664M to $678M
    Jan 14, 2013 to Mar 27, 2013
  • Accounts · 620 to 595
    Dec 4, 2012 to Jan 14, 2013
  • Discretionary RAUM · $728M to $617M
    Dec 4, 2012 to Jan 14, 2013
  • Non-discretionary RAUM · $45.2M to $46.9M
    Dec 4, 2012 to Jan 14, 2013
  • RAUM · $773M to $664M
    Dec 4, 2012 to Jan 14, 2013
  • Advisory employees · unset to 5.0
    May 8, 2012 to Dec 4, 2012
  • Employees · unset to 14.0
    May 8, 2012 to Dec 4, 2012
  • State-registered IARs · unset to 6.0
    May 8, 2012 to Dec 4, 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