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
Howard Bailey Securities, LLC
Latest filing Jul 22, 2026
First filing on the tape Dec 26, 2018 · 22 filings
SEC status approved since Jan 30, 2019
RAUM
$583M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$574M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$53.0M
derived; firm RAUM over IAPD count
Employees
46
15 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$583M as of Jul 22, 2026
Mar 28, 2019$117M then
HNW client RAUM$170M as of Jul 22, 2026
Mar 28, 2019$20.7M then
State-registered IARs (5.B.3)16 as of Jul 22, 2026
Mar 28, 20195 then
Employees (5.A)46 as of Jul 22, 2026
Mar 28, 20196 then
Private funds: no history
RAUM +20% over the last fiscal year+16% a year over threeIARs 16 to 16
Practice profile
derived from the filing of Jul 22, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $53.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 155derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $143,686derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.2derivedItem 5.A over advisors
- Advisors per office
- 2.2derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween 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 assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $75.7M, 201 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$404M69%
- High-net-worth individuals$170M29%
- Pension and profit-sharing plans$7.3M1.3%
- Corporations and businesses$1.9M0.3%
- Individual clients
- 1,617reported
- HNW clients
- 83reported
- Pension plan clients
- 53reported
- Charitable clients
- n/areported
- Accounts
- 4,056reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $75.7M for 201 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Robert Charles MccoyCertified Financial Planner | Fort Wayne, In | Mar 6, 2019 | 29 y | 0 |
| Marshal Neil JohnsonCertified Financial Planner | Fort Wayne, In | Mar 6, 2019 | 19 y | 3 |
| Casey Bailey WeadeCertified Financial Planner, Chartered Financial Consultant | Fort Wayne, In | Mar 6, 2019 | 16 y | 2 |
| Reid Mckinney Braun | Fort Wayne, In | Jun 28, 2019 | 11 y | 0 |
| Isaac James BergChartered Financial Consultant | Fort Wayne, In | Mar 11, 2022 | 10 y | 0 |
| Brian Robert Singer | Brownsburg, In | Mar 30, 2022 | 32 y | 1 |
| Kelsey Lee Dagle | Fort Wayne, In | Jan 9, 2023 | 14 y | 0 |
| Jason Bradley Pruitt | Fort Wayne, In | Feb 28, 2024 | 10 y | 0 |
| Grant Tyler WelterChartered Financial Consultant | Fort Wayne, In | Jun 4, 2024 | 10 y | 0 |
| Trae Ryan Hassebroek | Brownsburg, In | Apr 9, 2026 | 12 y | 0 |
| Alec Joseph Sanderson | Fort Wayne, In | Aug 6, 2026 | 10 y | 0 |
Advisor movement
4 left, 0 joined in 12 months
net -4 in 12 months2 left in 90 days0 joined in 90 daysdeparture rate 36% of current headcount7 left over 36 months
Left, latest
- Tyler Richard Wyss to Golden Reserve Retirement, LLCJul 31, 2026 · RIA to RIA
- Christopher Louis Horoky to Horoky Private Wealth, LLCJun 29, 2026 · RIA to a state-registered adviser
- Ryan Deane Zeeb to Ministry Partners Securities, LLCMay 1, 2026 · RIA to a state-registered adviser
- John Ryan Nuechterlein to Buffalo Capital Advisors LLCDec 10, 2025 · RIA to a state-registered adviser
- Sara Ann Provines to Kingsview Wealth Management, LLCMar 28, 2025 · RIA to RIA
- David Scott Littrell to Independent Financial PartnersAug 5, 2024 · RIA to affiliated broker-dealer or bank
- Christopher Hylen to Wealth Enhancement Advisory Services, LLCNov 21, 2023 · RIA to affiliated broker-dealer or bank
- Matthew Postell to Pruco Securities, LLCMay 17, 2023 · RIA to affiliated broker-dealer or bank
- Bradley Milinko Simich to Gradient Advisors, LLCSep 20, 2022 · RIA to RIA
- James A Dewese to Edward JonesSep 6, 2022 · RIA to affiliated broker-dealer or bank
- James Kennedy to Td Ameritrade Investment Management, LLCJan 31, 2018 · RIA to RIA
- Nathan J Devaux to Kestra Advisory Services, LLCAug 11, 2016 · RIA to affiliated broker-dealer or bank
Joined, latest
- Ryan Deane Zeeb from Oneascent Financial Services LLCNov 9, 2023 · RIA to RIA
- Christopher Hylen from Planning Alternatives LtdJun 25, 2023 · RIA to RIA
- Matthew Postell from Fidelity Personal And Workplace AdvisorsMay 1, 2023 · Affiliated broker-dealer or bank to independent RIA
- David Scott Littrell from Equitable Advisors, LLCFeb 10, 2023 · Affiliated broker-dealer or bank to independent RIA
- James A Dewese from Osaic Wealth, Inc.Apr 4, 2022 · Affiliated broker-dealer or bank to independent RIA
- Brian Robert Singer from Ae Wealth Management, LLCMar 30, 2022 · Affiliated broker-dealer or bank to independent RIA
- Casey Bailey Weade from Global Financial Private Capital, Inc.Mar 6, 2019 · Other
- Marshal Neil Johnson from Global Financial Private Capital, Inc.Mar 6, 2019 · Other
- Bradley Milinko Simich from Edward JonesNov 23, 2018 · Affiliated broker-dealer or bank to independent RIA
- Christopher Louis Horoky from Edward JonesFeb 22, 2018 · Affiliated broker-dealer or bank to independent RIA
- James Kennedy from Strategic Advisers LLCJun 27, 2017 · Affiliated broker-dealer or bank to independent RIA
- Nathan J Devaux from Global Financial Private Capital, Inc.Mar 30, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Global Financial Private Capital, Inc.Apr 13, 2017 · Sarasota, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Philip Christopher Matthew Chambers · Chief Operating Officercontrolsince 08/2021 · owns less than 5%
- Neil Marshal Johnson · Chief Compliance Officercontrolsince 10/2024 · owns less than 5%
- Bailey Casey Weade · Chief Executive Officercontrolsince 03/2016 · owns 75% or more
Related persons
Schedule D 7.A
- Howard Bailey Financial, Inc.real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Fort Wayne, In · principal | 9 | 1 | 3 | ||
| Brownsburg, In | 2 | 1 | 0 | ||
| Mishawaka, In | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Brownsburg, IN2 employees
- Mishawaka, IN2 employees
- Perrysburg, OH1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- high employee count relative to advisorsStatic outlier · filing Jul 22, 2026employees per registered advisor of 4.2 against a peer median of 1.4 (947 comparable advisers, 100.0th percentile, 7.0 robust deviations)peers: independent wealth managers, $500M to $1B (947) · 100% percentile
- employee count surgeChange between filings · filing Mar 31, 2026employees (Item 5.A) moved from 16.0 to 46.0 (+188.0%) between the annual amendments of 2025-03-27 and 2026-03-31; the peer median change was 0.0% (596 comparable advisers, 100.0th percentile of changes)peers: independent wealth managers, $500M to $1B (596) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 3,793 to 4,056Nov 7, 2025 to Mar 31, 2026
- Advisory employees · 16 to 15Nov 7, 2025 to Mar 31, 2026
- Corporate clients · 1 to 3Nov 7, 2025 to Mar 31, 2026
- HNW clients · unset to 83.0Nov 7, 2025 to Mar 31, 2026
- Individual clients · 1,619 to 1,617Nov 7, 2025 to Mar 31, 2026
- Pension plan clients · 87 to 53Nov 7, 2025 to Mar 31, 2026
- Assets in custody · $40.8M to $75.7MNov 7, 2025 to Mar 31, 2026
- Employees · 16 to 46Nov 7, 2025 to Mar 31, 2026
- Discretionary RAUM · $485M to $583MNov 7, 2025 to Mar 31, 2026
- HNW RAUM · unset to 169880751.0Nov 7, 2025 to Mar 31, 2026
- Individual RAUM · $475M to $404MNov 7, 2025 to Mar 31, 2026
- Pension RAUM · $8.2M to $7.3MNov 7, 2025 to Mar 31, 2026
- RAUM · $485M to $583MNov 7, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Jun 10, 2025 to Nov 7, 2025
- Accounts · 4,344 to 3,793Feb 24, 2025 to Mar 27, 2025
- Advisory employees · 14 to 16Feb 24, 2025 to Mar 27, 2025
- Corporate clients · unset to 1.0Feb 24, 2025 to Mar 27, 2025
- HNW clients · 203.0 to unsetFeb 24, 2025 to Mar 27, 2025
- Individual clients · 2,277 to 1,619Feb 24, 2025 to Mar 27, 2025
- Pension plan clients · unset to 87.0Feb 24, 2025 to Mar 27, 2025
- Assets in custody · $35.6M to $40.8MFeb 24, 2025 to Mar 27, 2025
- Employees · 15 to 16Feb 24, 2025 to Mar 27, 2025
- State-registered IARs · 14 to 16Feb 24, 2025 to Mar 27, 2025
- Discretionary RAUM · $432M to $485MFeb 24, 2025 to Mar 27, 2025
- HNW RAUM · 162156000.0 to unsetFeb 24, 2025 to Mar 27, 2025
- Individual RAUM · $300M to $475MFeb 24, 2025 to Mar 27, 2025
- Non-discretionary RAUM · $31.6M to $0Feb 24, 2025 to Mar 27, 2025
- Pension RAUM · $1.5M to $8.2MFeb 24, 2025 to Mar 27, 2025
- RAUM · $463M to $485MFeb 24, 2025 to Mar 27, 2025
- Other offices · 3 to 4Nov 20, 2024 to Feb 24, 2025
- Accounts · 4,082 to 4,344Mar 31, 2023 to Mar 31, 2024
- Advisory employees · 12 to 14Mar 31, 2023 to Mar 31, 2024
- HNW clients · 386 to 203Mar 31, 2023 to Mar 31, 2024
- Individual clients · 2,189 to 2,277Mar 31, 2023 to Mar 31, 2024
- Assets in custody · $61.7M to $35.6MMar 31, 2023 to Mar 31, 2024
- Employees · 12 to 15Mar 31, 2023 to Mar 31, 2024
- State-registered IARs · 12 to 14Mar 31, 2023 to Mar 31, 2024
- Discretionary RAUM · $359M to $432MMar 31, 2023 to Mar 31, 2024
- HNW RAUM · $183M to $162MMar 31, 2023 to Mar 31, 2024
- Individual RAUM · $190M to $300MMar 31, 2023 to Mar 31, 2024
Signals
15 dated events
- Tyler Richard Wyss left Howard Bailey Securities, Llc for Golden Reserve Retirement, Llc (registered 2026-08-12)Jul 31, 2026 · Advisor changed firm · fact
- Christopher Louis Horoky left Howard Bailey Securities, Llc for Horoky Private Wealth, Llc (registered 2026-06-24)Jun 29, 2026 · Advisor changed firm · fact
- Ryan Deane Zeeb left Howard Bailey Securities, Llc for Ministry Partners Securities, Llc (registered 2026-04-29)May 1, 2026 · Advisor changed firm · fact
- John Ryan Nuechterlein left Howard Bailey Securities, Llc for Buffalo Capital Advisors Llc (registered 2026-01-05)Dec 10, 2025 · Advisor changed firm · fact
- Sara Ann Provines left Howard Bailey Securities, Llc for Kingsview Wealth Management, Llc (registered 2025-03-10)Mar 28, 2025 · Advisor changed firm · fact
- Neil Marshal Johnson (Chief Compliance Officer) appeared on Schedule A of Howard Bailey Securities, LlcNov 20, 2024 · Control person joined · fact
- Henry John Harper (Chief Compliance Officer) no longer on Schedule A of Howard Bailey Securities, Llc (listed 2024-03-31, absent 2024-11-20)Nov 20, 2024 · Control person left · inference
- David Scott Littrell left Howard Bailey Securities, Llc for Independent Financial Partners (registered 2024-11-06)Aug 5, 2024 · Advisor changed firm · fact
- Christopher Hylen left Howard Bailey Securities, Llc for Wealth Enhancement Advisory Services, Llc (registered 2025-06-13)Nov 21, 2023 · Advisor changed firm · fact
- Matthew Postell left Howard Bailey Securities, Llc for Pruco Securities, Llc (registered 2023-08-02)May 17, 2023 · Advisor changed firm · fact
- Bradley Milinko Simich left Howard Bailey Securities, Llc for Gradient Advisors, Llc (registered 2022-11-17)Sep 20, 2022 · Advisor changed firm · fact
- James A Dewese left Howard Bailey Securities, Llc for Edward Jones (registered 2025-03-21)Sep 6, 2022 · Advisor changed firm · fact
- Philip Christopher Matthew Chambers (Chief Operations Officer) appeared on Schedule A of Howard Bailey Securities, LlcApr 1, 2022 · Control person joined · fact
- Henry John Harper (Chief Compliance Officer) appeared on Schedule A of Howard Bailey Securities, LlcNov 12, 2020 · Control person joined · fact
- Howard Bailey Securities, Llc filed its initial SEC registration (Form ADV)Dec 26, 2018 · First SEC registration · 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 email
- info@howardbailey.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 260-482-9779reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 866-482-9559reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 888-899-8344reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/howardbaileyfinancialreportedpublic record, Form ADV, Sep 17, 2026
- Website
- howardbailey.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 260-482-9559reportedpublic record, Form ADV, Jul 22, 2026
- Team page
- howardbailey.com/about-us/meet-the-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
- $53.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026