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
Horter Investment Management, LLC
Latest filing Aug 6, 2026
First filing on the tape Feb 3, 2012 · 711 filings
SEC status approved since Jan 12, 2007
RAUM
$314M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$288M individuals and HNW
Advisors
28
registered through the firm on IAPD
RAUM per advisor
$11.2M
derived; firm RAUM over IAPD count
Employees
43
29 advisory (5.B.1)
Offices
20
beyond the principal office
Private funds
0
reported on Schedule D
History
400 filings and snapshots on the tape
RAUM$1.1B as of Mar 31, 2017
Feb 3, 2012$144M then
HNW client RAUM: no history
State-registered IARs (5.B.3)239 as of Mar 31, 2017
May 1, 20131 then
Employees (5.A)239 as of Mar 31, 2017
May 1, 20136 then
Private funds: no history
RAUM +13% over the last fiscal year+11% a year over threeIARs 29 to 29offices 22 to 20
Practice profile
derived from the filing of Aug 6, 2026; every figure names its basis
- RAUM per advisor
- $11.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 46derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $136,977derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.3derived21 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Custody
- $167M, 703 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$167M53%
- High-net-worth individuals$121M39%
- Corporations and businesses$14.9M4.7%
- Pension and profit-sharing plans$7.3M2.3%
- Other investment advisers$3.8M1.2%
- Individual clients
- 1,218reported
- HNW clients
- 74reported
- Pension plan clients
- 8reported
- Charitable clients
- n/areported
- Accounts
- 2,296reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $167M for 703 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.92 fund_share=0.01 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
28 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Drew Kent Horter | Cincinnati, Oh | Apr 26, 2006 | 43 y | 0 |
| Glenda Lee Jensen | Apex, Nc | Jul 18, 2008 | 18 y | 0 |
| Michael John Lightfield | Elkridge, Md | May 29, 2012 | 28 y | 1 |
| Daniel Thomas DoughertyChartered Financial Consultant | Springfield, Pa | Feb 6, 2014 | 40 y | 1 |
| Stephen David Dissette | Cincinnati, Oh | Sep 8, 2014 | 29 y | 5 |
| Herbert Louis PerlinChartered Financial Consultant | Cincinnati, Oh | Apr 11, 2017 | 43 y | 2 |
| Julie Lynn Ahrens | Covington, In | Mar 20, 2018 | 40 y | 0 |
| Barry Daniel Bayles | Cincinnati, Oh | Jun 1, 2018 | 23 y | 0 |
| Lawrence Courtney Tidmore | Cincinnati, Oh | Jul 16, 2018 | 27 y | 1 |
| Bryan Allan Mitchell | Cincinnati, Oh | Nov 12, 2019 | 10 y | 0 |
| Diane Marie Marra | Bloomville, Ny | May 21, 2021 | 29 y | 0 |
| Mark Edward Kuhne | Hudson, Wi | Feb 2, 2022 | 13 y | 1 |
| Geffrey Horace Lewis | Atlantic Beach, Fl | Sep 12, 2022 | 12 y | 0 |
| David OcasioChartered Financial Consultant | Cincinnati, Oh | Dec 12, 2022 | 21 y | 1 |
| Keliikai Seto Ah Mook Castillo | Seattle, Wa | Oct 18, 2023 | 21 y | 2 |
| Hayden K Horter | Cincinnati, Oh | Jan 9, 2024 | 15 y | 0 |
| Anthony William Frambes | Cincinnati, Oh | Jul 25, 2024 | 11 y | 1 |
| Kevin Andrew Mccann | Worthington, Oh | Aug 6, 2024 | 12 y | 1 |
| Sean Patrick Mclaughlin | Cincinnati, Oh | Oct 6, 2024 | 13 y | 1 |
| Peter Joseph Vlahakis | Cincinnati, Oh | Jan 1, 2025 | 23 y | 0 |
| Brooke Christine Pettit | Cincinnati, Oh | Feb 16, 2025 | 11 y | 0 |
| Tyler John Koebbe | Cincinnati, Oh | Feb 16, 2025 | 10 y | 1 |
| Mitchell Scott Clark | Cincinnati, Oh | Aug 1, 2025 | 11 y | 2 |
| Ronnie Mejia | Yorba Linda, Ca | Dec 9, 2025 | 20 y | 0 |
| Norman David Eccarius | Saint Charles, Mo | Jan 8, 2026 | 33 y | 4 |
| Brandon Hendricks | Cincinnati, Oh | Apr 15, 2026 | 15 y | 5 |
| Todd Brubaker | Cincinnati, Oh | Jun 1, 2026 | 15 y | 4 |
| Christopher H Boyd | Cincinnati, Oh | Aug 21, 2026 | 13 y | 1 |
Advisor movement
4 left, 4 joined in 12 months
net 0 in 12 months2 left in 90 days1 joined in 90 daysdeparture rate 14% of current headcount13 left over 36 months
Left, latest
- Diane Cynthia Snyder to LPL Financial LLCAug 6, 2026 · RIA to affiliated broker-dealer or bank
- Glenn W. Mosseller to Virtue Capital Management, LLCJun 30, 2026 · RIA to RIA
- Anthony Joseph Saulino to MML Investors Services, LLCMar 30, 2026 · RIA to affiliated broker-dealer or bank
- Julie Lynn Lesicki to Luminist Capital, LLCSep 25, 2025 · RIA to RIA
- Thomas Francis Bennett to RBC Securities, Inc.May 27, 2025 · RIA to RIA
- Benjamin M Hout to Golden Reserve Retirement, LLCOct 4, 2024 · RIA to RIA
- Richard James Haeufle to Ameriprise Financial Services, LLCSep 16, 2024 · RIA to affiliated broker-dealer or bank
- Edward Michael Botelho to Creativeone Wealth, LLCMay 17, 2024 · RIA to RIA
- David John Cadarette to Ae Wealth Management, LLCJan 8, 2024 · RIA to affiliated broker-dealer or bank
- Craig Philip Misuradze to Agewise Financial Inc.Nov 20, 2023 · RIA to a state-registered adviser
- Reed Mells to Ameriprise Financial Services, LLCOct 30, 2023 · RIA to affiliated broker-dealer or bank
- Michael Thomas Prendergast to Virtue Capital Management, LLCSep 28, 2023 · RIA to RIA
- Kyle Ivan Arnold to West Arbor Solutions, LLCSep 22, 2023 · RIA to a state-registered adviser
- Ashlee Willis to Ameriprise Financial Services, LLCJul 19, 2023 · RIA to affiliated broker-dealer or bank
- James Joseph Vitou to Ae Wealth Management, LLCJul 11, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
- Christopher H Boyd from Morgan StanleyAug 21, 2026 · Wirehouse to independent RIA
- Brandon Hendricks from MarinerApr 15, 2026 · Affiliated broker-dealer or bank to independent RIA
- Norman David Eccarius from Ae Wealth Management, LLCJan 8, 2026 · Affiliated broker-dealer or bank to independent RIA
- Anthony Joseph Saulino from Golden Reserve Retirement, LLCDec 1, 2025 · RIA to RIA
- Mitchell Scott Clark from Mons CapitalAug 1, 2025 · Other
- Tyler John Koebbe from W&S Brokerage Services, Inc.Feb 16, 2025 · Affiliated broker-dealer or bank to independent RIA
- Sean Patrick Mclaughlin from W&S Brokerage Services, Inc.Oct 6, 2024 · Affiliated broker-dealer or bank to independent RIA
- Kevin Andrew Mccann from Tucker Asset Management LLCAug 6, 2024 · RIA to RIA
- Anthony William Frambes from Alphamark Advisors, LLCJul 25, 2024 · RIA to RIA
- Todd Brubaker from Bankers Life Advisory Services, Inc.Apr 10, 2024 · Affiliated broker-dealer or bank to independent RIA
- Thomas Francis Bennett from U.S. Bancorp Advisors, LLCDec 7, 2023 · Affiliated broker-dealer or bank to independent RIA
- Benjamin M Hout from Cerity Partners LLCNov 6, 2023 · RIA to RIA
- Keliikai Seto Ah Mook Castillo from U.S. Bancorp Advisors, LLCOct 18, 2023 · Affiliated broker-dealer or bank to independent RIA
- Richard James Haeufle from Fidelity Personal And Workplace AdvisorsAug 2, 2023 · Affiliated broker-dealer or bank to independent RIA
- Edward Michael Botelho from Securities America Advisors, Inc.Jul 11, 2023 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Ae Wealth Management, LLCJul 11, 2023 · Rocky River, Oh
- 2 left for Creativeone Wealth, LLCNov 4, 2021 · Overland Park, Ks
- 4 left for Townsquare Capital, LLCMay 26, 2020 · Cedar Park, Tx
- 2 left for Apo Financial Services, LLCDec 13, 2019 · Cincinnati, Oh
- 2 left for Brookstone Wealth Advisors, LLCAug 21, 2019 · Cincinnati, Oh
- 3 left for Apo Financial Services, LLCAug 13, 2019 · Westminster, Co
- 8 left for Virtue Capital Management, LLCJul 19, 2019 · Cincinnati, Oh
- 3 left for Virtue Capital Management, LLCMay 6, 2019 · Cincinnati, Oh
- 2 joined from Triumph Wealth Advisors, Inc.Sep 2, 2016 · Acworth, Ga
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Craig Kevin Hetzer · Chief Operating Officercontrolsince 09/2019 · owns less than 5%
- Lee Robert Hopkins · Chief Compliance Officercontrolsince 12/2023 · owns less than 5%
- Kent Drew Horter · Ceocontrolsince 05/1991 · owns 75% or more
- Andrew Keith Schmidt · Presidentcontrolsince 10/2023 · owns less than 5%
Related persons
Schedule D 7.A
- Horter Financial Strategiesreal estaten
- Tactical Fund Advisors, LLCinvestment advisernRAUM $170M
Advisers that list Horter Investment Management, LLC as a related person
- 298049 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cincinnati, Oh · principal | 28 | 5 | 1 | ||
| Columbus, Oh | 3 | 3 | 0 | ||
| Covington, In | 2 | 0 | 0 | ||
| Des Moines, Ia | 0 | 0 | 0 | ||
| Ashburn, Va | 0 | 0 | 1 | ||
| Haverford, Pa | 0 | 0 | 1 | ||
| Southern Pines, Nc | 0 | 0 | 0 | ||
| Tarpon Springs, Fl | 0 | 0 | 0 | ||
| Williamsburg, Mi | 0 | 0 | 0 | ||
| Benicia, Ca | 0 | 0 | 0 | ||
| Greensboro, Nc | 0 | 0 | 1 | ||
| Bristol, Ri | 0 | 0 | 0 | ||
| Charlevoix, Mi | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Trail Creek, IN2 employees
- Greensboro, NC1 employees
- Springfield, OH1 employees
- Springfield, PA1 employees
- Valparaiso, IN1 employees
- Virginia Beach, VA1 employees
- West Deptford, NJ1 employees
- Bristol, RI1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Other offices · 21 to 20Jul 20, 2026 to Aug 6, 2026
- Other offices · 22 to 21Apr 8, 2026 to Jul 20, 2026
- Accounts · 2,136 to 2,296Nov 7, 2025 to Mar 16, 2026
- Advisory employees · 33 to 29Nov 7, 2025 to Mar 16, 2026
- Corporate clients · 25 to 22Nov 7, 2025 to Mar 16, 2026
- HNW clients · 70 to 74Nov 7, 2025 to Mar 16, 2026
- Individual clients · 1,164 to 1,218Nov 7, 2025 to Mar 16, 2026
- Pension plan clients · 69 to 8Nov 7, 2025 to Mar 16, 2026
- Assets in custody · $68.0M to $167MNov 7, 2025 to Mar 16, 2026
- Employees · 41 to 43Nov 7, 2025 to Mar 16, 2026
- Other offices · 21 to 22Nov 7, 2025 to Mar 16, 2026
- Discretionary RAUM · $278M to $314MNov 7, 2025 to Mar 16, 2026
- HNW RAUM · $110M to $121MNov 7, 2025 to Mar 16, 2026
- Individual RAUM · $147M to $167MNov 7, 2025 to Mar 16, 2026
- Pension RAUM · $1.1M to $7.3MNov 7, 2025 to Mar 16, 2026
- RAUM · $278M to $314MNov 7, 2025 to Mar 16, 2026
- Other offices · 22 to 21Feb 21, 2025 to Nov 7, 2025
- Accounts · 3,449 to 2,136Nov 1, 2024 to Feb 21, 2025
- Advisory employees · 32 to 33Nov 1, 2024 to Feb 21, 2025
- Corporate clients · 24 to 25Nov 1, 2024 to Feb 21, 2025
- HNW clients · 69 to 70Nov 1, 2024 to Feb 21, 2025
- Individual clients · 1,199 to 1,164Nov 1, 2024 to Feb 21, 2025
- Pension plan clients · 8 to 69Nov 1, 2024 to Feb 21, 2025
- Assets in custody · $59.7M to $68.0MNov 1, 2024 to Feb 21, 2025
- Employees · 44 to 41Nov 1, 2024 to Feb 21, 2025
- Financial planning clients · 1-10 to 1-10Nov 1, 2024 to Feb 21, 2025
- State-registered IARs · 30 to 29Nov 1, 2024 to Feb 21, 2025
- Other offices · 25 to 22Nov 1, 2024 to Feb 21, 2025
- Discretionary RAUM · $211M to $278MNov 1, 2024 to Feb 21, 2025
- HNW RAUM · $78.9M to $110MNov 1, 2024 to Feb 21, 2025
- Individual RAUM · $129M to $147MNov 1, 2024 to Feb 21, 2025
- Non-discretionary RAUM · $2.7M to $0Nov 1, 2024 to Feb 21, 2025
- Pension RAUM · $1.3M to $1.1MNov 1, 2024 to Feb 21, 2025
- RAUM · $214M to $278MNov 1, 2024 to Feb 21, 2025
- Assets in custody · unset to 59709884.0Oct 10, 2024 to Oct 29, 2024
- Custody of client assets · false to trueOct 10, 2024 to Oct 29, 2024
- Accounts · 2,563 to 3,449Feb 13, 2024 to Mar 26, 2024
- Advisory employees · 34 to 32Feb 13, 2024 to Mar 26, 2024
- Corporate clients · 35 to 24Feb 13, 2024 to Mar 26, 2024
- HNW clients · 65 to 69Feb 13, 2024 to Mar 26, 2024
Signals
53 dated events
- Diane Cynthia Snyder left Horter Investment Management, Llc for Lpl Financial Llc (registered 2026-08-18)Aug 6, 2026 · Advisor changed firm · fact
- Glenn W. Mosseller left Horter Investment Management, Llc for Virtue Capital Management, Llc (registered 2026-07-01)Jun 30, 2026 · Advisor changed firm · fact
- Anthony Joseph Saulino left Horter Investment Management, Llc for Mml Investors Services, Llc (registered 2026-08-11)Mar 30, 2026 · Advisor changed firm · fact
- Julie Lynn Lesicki left Horter Investment Management, Llc for Luminist Capital, Llc (registered 2025-11-25)Sep 25, 2025 · Advisor changed firm · fact
- Thomas Francis Bennett left Horter Investment Management, Llc for Rbc Securities, Inc. (registered 2025-06-06)May 27, 2025 · Advisor changed firm · fact
- Peter Thomas Kisver no longer registered at Horter Investment Management, Llc; no later IA registration on IAPDApr 14, 2025 · Advisor departure · fact
- Benjamin M Hout left Horter Investment Management, Llc for Golden Reserve Retirement, Llc (registered 2024-10-22)Oct 4, 2024 · Advisor changed firm · fact
- Richard James Haeufle left Horter Investment Management, Llc for Ameriprise Financial Services, Llc (registered 2024-10-17)Sep 16, 2024 · Advisor changed firm · fact
- Edward Michael Botelho left Horter Investment Management, Llc for Creativeone Wealth, Llc (registered 2024-05-17)May 17, 2024 · Advisor changed firm · fact
- Horter Investment Management, Llc reported 25 offices beyond its principal office, down from 51 (2024-02-13 to 2024-03-26)Mar 26, 2024 · Office count change · derived
- Andrew Keith Schmidt (President) appeared on Schedule A of Horter Investment Management, LlcMar 26, 2024 · Control person joined · fact
- Lee Robert Hopkins (Chief Compliance Officer) appeared on Schedule A of Horter Investment Management, LlcJan 22, 2024 · Control person joined · fact
- David Jason Long (Chief Compliance Officer) no longer on Schedule A of Horter Investment Management, Llc (listed 2023-08-02, absent 2024-01-22)Jan 22, 2024 · Control person left · inference
- David John Cadarette left Horter Investment Management, Llc for Ae Wealth Management, Llc (registered 2024-01-09)Jan 8, 2024 · Advisor changed firm · fact
- Craig Philip Misuradze left Horter Investment Management, Llc for Agewise Financial Inc. (registered 2023-11-28)Nov 20, 2023 · Advisor changed firm · fact
- Reed Mells left Horter Investment Management, Llc for Ameriprise Financial Services, Llc (registered 2024-01-05)Oct 30, 2023 · Advisor changed firm · fact
- Michael Thomas Prendergast left Horter Investment Management, Llc for Virtue Capital Management, Llc (registered 2025-01-07)Sep 28, 2023 · Advisor changed firm · fact
- Kyle Ivan Arnold left Horter Investment Management, Llc for West Arbor Solutions, Llc (registered 2025-01-02)Sep 22, 2023 · Advisor changed firm · fact
- Horter Investment Management, Llc reported 34 state-registered advisory representatives, down from 46 (2022-06-24 to 2023-08-02)Aug 2, 2023 · Advisor headcount change · derived
- Horter Investment Management, Llc reported RAUM $227.1M, down 36% from $354.3M (2022-06-24 to 2023-08-02)Aug 2, 2023 · RAUM change · derived
- Ashlee Willis left Horter Investment Management, Llc for Ameriprise Financial Services, Llc (registered 2023-09-06)Jul 19, 2023 · Advisor changed firm · fact
- James Joseph Vitou left Horter Investment Management, Llc for Ae Wealth Management, Llc (registered 2023-07-11)Jul 11, 2023 · Advisor changed firm · fact
- James Daniel Vitou left Horter Investment Management, Llc for Ae Wealth Management, Llc (registered 2023-07-11)Jul 11, 2023 · Advisor changed firm · fact
- 2 advisors left Horter Investment Management, LLC (Rocky River, OH) for AE Wealth Management, LLC on the same dayJul 11, 2023 · Team lift-out · derived
- Jeffery Lynn Ingraham left Horter Investment Management, Llc for Well Advised, Llc (registered 2023-05-05)May 5, 2023 · Advisor changed firm · fact
- Larry Eugene Foster left Horter Investment Management, Llc for Cetera Investment Advisers Llc (registered 2023-06-08)Apr 14, 2023 · Advisor changed firm · fact
- Fredric William Miller left Horter Investment Management, Llc for Virtue Capital Management, Llc (registered 2022-10-03)Oct 7, 2022 · Advisor changed firm · fact
- Michael Alexander Watkins left Horter Investment Management, Llc for Redwood Private Wealth (registered 2022-10-25)Oct 4, 2022 · Advisor changed firm · fact
- Joann Marie North left Horter Investment Management, Llc for Redwood Private Wealth (registered 2022-09-30)Sep 30, 2022 · Advisor changed firm · fact
- Donald Craig Hoffman left Horter Investment Management, Llc for Advisor Share Wealth Management, Llc (registered 2024-03-26)Aug 25, 2022 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 513-984-9933reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/horter-investment-management-llcreportedpublic record, Form ADV, Sep 17, 2026
- Website
- HORTERINVESTMENT.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 513-984-9933reportedpublic record, Form ADV, Aug 6, 2026
- Contact form
- HORTERINVESTMENT.COM/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- HORTERINVESTMENT.COM/our-difference/teamreportedpublished by the firm, firm site, Sep 15, 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
- $11.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026