HALTER FERGUSON FINANCIAL INC
Latest filing: Feb 26, 2025 (112 days ago)
AUM
$487,810,150
29% change vs. 1 year ago
42% change vs. 3 years ago
177% change vs. 5 years ago
172% change vs. 10 years ago
Employee Count
12
33% change vs. 1 year ago
33% change vs. 3 years ago
200% change vs. 5 years ago
100% change vs. 10 years ago
Main Office
CARMEL, IN
13080 GRAND BLVD., CARMEL, IN, UNITED STATES, 46032
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $0.5 |
| Non-Discretionary | $0.0 |
| Total | $0.5 |
| Client | AUM |
|---|---|
| Retail | $0.5 |
| Pooled | $0.0 |
| Institutional | $0.0 |
| Total | $0.5 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 126 | $0.1 |
| Average Individual AUM | $479,825 | |
| HNW | 148 | $0.4 |
| Average HNW AUM | $2,869,639 | |
| Retail Total | 274 | $0.5 |
| Average Retail AUM | $1,770,674 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| CHARLES SCHWAB & CO., INC. | SAN FRANCISCO-CA-USA | $0.3 |
| FIDELITY BROKERAGE SERVICES LLC | SMITHFIELD-RI-USA | $0.1 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $0.5 |
| Retail SMA AUM | $0.5 |
| Institutional SMA AUM | $0.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 40% | $0.2 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 3% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 1% | $0.0 |
| HY Credit | 1% | $0.0 |
| Derivatives | 1% | $0.0 |
| Investment Companies | 52% | $0.3 |
| Other Pools | 0% | $0.0 |
| Cash | 3% | $0.0 |
| Other | 0% | $0.0 |
| Total | 101% | $0.5 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| GOOD SOIL INVESTMENT MANAGEMENT LLC | $0.0 | 311533 |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
Representatives
4 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| ISAAC YOPS | CARMEL | IN | S65|2023-10-09 | ||||||
| TIFFANY WHITE | CARMEL | IN | CERTIFIED FINANCIAL PLANNER | ||||||
| MATTHEW SMITH | CARMEL | IN | S63|2011-08-31|S65|2022-10-10 | ||||||
| BRADFORD FERGUSON | CARMEL | IN | S65|2006-03-18 | CHARTERED FINANCIAL ANALYST | |||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-05-02 | $0.5 | $0.0 | 0% | 12 | 0 | 0% |
| 2025-04-21 | $0.5 | $0.0 | 0% | 12 | 0 | 0% |
| 2024-04-02 | $0.4 | $0.1 | 29% | 9 | 3 | 33% |
| 2023-04-04 | $0.3 | $0.2 | 83% | 9 | 3 | 33% |
| 2022-04-01 | $0.3 | $0.1 | 42% | 9 | 3 | 33% |
| 2021-04-05 | $0.3 | $0.2 | 62% | 9 | 3 | 33% |
| 2020-04-01 | $0.2 | $0.3 | 177% | 4 | 8 | 200% |
| 2019-04-01 | $0.1 | $0.3 | 243% | 5 | 7 | 140% |
| 2018-04-02 | $0.2 | $0.3 | 209% | 5 | 7 | 140% |
| 2017-04-01 | $0.2 | $0.3 | 184% | 5 | 7 | 140% |
| 2016-04-01 | $0.2 | $0.3 | 197% | 6 | 6 | 100% |
| 2015-04-01 | $0.2 | $0.3 | 172% | 6 | 6 | 100% |
| 2014-04-01 | $0.2 | $0.3 | 171% | 3 | 9 | 300% |
| 2013-04-01 | $0.1 | $0.3 | 230% | 3 | 9 | 300% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| IN, CA-03/01/2024, CO-02/26/2025, FL-01/14/2013, GA-03/08/2021, IL-02/26/2025, IN-09/16/1986, LA-03/01/2024, MI-02/26/2025, NH-03/01/2024, NJ-02/26/2025, SC-02/09/2023, TN-02/26/2025, TX-03/12/2020, WA-02/26/2025 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT MANAGER SELECTION |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV