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

Former SEC-registered adviserLincolnshire, IllinoisCRD 153747SEC 801-71465IAPD
Legal name Huber Financial Advisors, LLC
Latest filing Jun 25, 2020
First filing on the tape Jan 11, 2012 · 34 filings
RAUM
$1.5B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
99%
$1.5B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
25
14 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$1.5B as of Mar 15, 2020
Mar 26, 2012$0 then
HNW client RAUM$1.2B as of Mar 15, 2020
Mar 23, 2018$989M then
State-registered IARs (5.B.3)14 as of Mar 15, 2020
Mar 26, 20120 then
Employees (5.A)25 as of Mar 15, 2020
Mar 25, 20131 then
Private funds: no history
RAUM +22% over the last fiscal year+6.5% a year over threeIARs 15 to 14
Practice profile
derived from the filing of Jun 25, 2020; every figure names its basis
RAUM per advisor
$105MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
73derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.7MderivedHNW RAUM over HNW clients
Average account
$350,193derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
7.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+22%derivedbetween the last two annual amendments
Advisor growth, one year
-6.7%derivedItem 5.B.3 between annual amendments
Client growth, one year
+5.1%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
Financial planning clients
500reportedItem 5.H
Ownership
controlled by a public reporting companyderived
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client securities (9.A.1.b)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.2B81%
  • Individuals$271M18%
  • Pension and profit-sharing plans$10.1M0.7%
Individual clients
579reported
HNW clients
449reported
Pension plan clients
8reported
Charitable clients
n/areported
Accounts
4,209reported
Financial planning clients
500reported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Margaret Baer · Chief Compliance Officercontrol
      since 03/2018 · owns less than 5%
    • Joseph David Huber · Chief Executive Officercontrol
      since 04/2013 · owns 50% to 75%
    • Robert Philip Huber · Chief Investment Officercontrol
      since 05/2015 · owns less than 5%
    • Earl Robert Morrison · Presidentcontrol
      since 07/2013 · owns 10% to 25%
    • Hunter Edward Cruickshank · Wealth Advisor
      since 08/2004 · owns less than 5%
    • Peter Joseph Doyle · Wealth Advisor
      since 07/2009 · owns 5% to 10%
    • James Robert Witt · Wealth Advisor
      since 08/2007 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Advisers that list Huber Financial as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Chicago, IL2 employees
    What changed
    consecutive filings, newest first
    • Accounts · 3,916 to 4,209
      Jul 23, 2019 to Mar 15, 2020
    • Advisory employees · 15 to 14
      Jul 23, 2019 to Mar 15, 2020
    • HNW clients · 370 to 449
      Jul 23, 2019 to Mar 15, 2020
    • Individual clients · 608 to 579
      Jul 23, 2019 to Mar 15, 2020
    • Assets in custody · $137M to $143M
      Jul 23, 2019 to Mar 15, 2020
    • Employees · 28 to 25
      Jul 23, 2019 to Mar 15, 2020
    • State-registered IARs · 15 to 14
      Jul 23, 2019 to Mar 15, 2020
    • Discretionary RAUM · $1.2B to $1.4B
      Jul 23, 2019 to Mar 15, 2020
    • HNW RAUM · $967M to $1.2B
      Jul 23, 2019 to Mar 15, 2020
    • Individual RAUM · $228M to $271M
      Jul 23, 2019 to Mar 15, 2020
    • Non-discretionary RAUM · $32.7M to $32.3M
      Jul 23, 2019 to Mar 15, 2020
    • Pension RAUM · $8.7M to $10.1M
      Jul 23, 2019 to Mar 15, 2020
    • RAUM · $1.2B to $1.5B
      Jul 23, 2019 to Mar 15, 2020
    • Employees · 27 to 28
      Feb 12, 2019 to Jul 23, 2019
    • Accounts · 3,756 to 3,916
      Jan 28, 2019 to Feb 12, 2019
    • Advisory employees · 12 to 15
      Jan 28, 2019 to Feb 12, 2019
    • Corporate clients · 3.0 to unset
      Jan 28, 2019 to Feb 12, 2019
    • HNW clients · 385 to 370
      Jan 28, 2019 to Feb 12, 2019
    • Individual clients · 578 to 608
      Jan 28, 2019 to Feb 12, 2019
    • Pension plan clients · 12 to 8
      Jan 28, 2019 to Feb 12, 2019
    • Assets in custody · $67.2M to $137M
      Jan 28, 2019 to Feb 12, 2019
    • Employees · 25 to 27
      Jan 28, 2019 to Feb 12, 2019
    • State-registered IARs · 12 to 15
      Jan 28, 2019 to Feb 12, 2019
    • Discretionary RAUM · $1.2B to $1.2B
      Jan 28, 2019 to Feb 12, 2019
    • HNW RAUM · $989M to $967M
      Jan 28, 2019 to Feb 12, 2019
    • Individual RAUM · $222M to $228M
      Jan 28, 2019 to Feb 12, 2019
    • Non-discretionary RAUM · $30.1M to $32.7M
      Jan 28, 2019 to Feb 12, 2019
    • Pension RAUM · $18.7M to $8.7M
      Jan 28, 2019 to Feb 12, 2019
    • RAUM · $1.2B to $1.2B
      Jan 28, 2019 to Feb 12, 2019
    • Advisory employees · 11 to 12
      Jul 26, 2018 to Dec 18, 2018
    • Employees · 24 to 25
      Jul 26, 2018 to Dec 18, 2018
    • State-registered IARs · 11 to 12
      Jul 26, 2018 to Dec 18, 2018
    • Advisory employees · 12 to 11
      Apr 13, 2018 to Jul 26, 2018
    • Employees · 22 to 24
      Apr 13, 2018 to Jul 26, 2018
    • Insurance-licensed employees · 1 to 0
      Apr 13, 2018 to Jul 26, 2018
    • State-registered IARs · 12 to 11
      Apr 13, 2018 to Jul 26, 2018
    • Advisory employees · 13 to 12
      Mar 23, 2018 to Apr 13, 2018
    • Employees · 23 to 22
      Mar 23, 2018 to Apr 13, 2018
    • State-registered IARs · 13 to 12
      Mar 23, 2018 to Apr 13, 2018
    • Accounts · 4,372 to 3,756
      Sep 29, 2017 to Mar 23, 2018
    Signals
    1 dated events
    • Huber Financial Advisors, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Jul 24, 2013 · Succession (Item 4) · fact
    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