Horter Investment Management, LLC (Cincinnati)

Name: Horter Investment Management, LLC
Address: 11726 Seven Gables Rd, Cincinnati, OH, 45249
Telephone: 513-984-9933

Horter Investment Management, LLC is a large advisory firm based in Cincinnati. It manages $902 million of regulatory assets for 8,703 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 48 other states.

Horter Investment Management provides financial planning services, portfolio management for individuals and small businesses, selection of other advisers, publication of newsletters, and educational seminars and workshops. It prepares financial plans for more than 100 clients. On top of advisory services, the firm doesn't engage in other business activities.

Horter Investment Management: assets under management

The assets under management (AUM) of Horter Investment Management, LLC is $902 million. The firm's AUM has grown by 2793% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $831.96 million in discretionary accounts and $70.04 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $97.45 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $421.95 thousand.

Investments

The firm invests in investment and business development companies the most. They account for 55% of the total AUM. The second-largest asset type is exchange traded securities, which make up 25% of the firm’s portfolio. Investments in cash and cash equivalents form 20% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Horter Investment Management, LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Horter Investment Management serves?

The firm provides services to individuals, insurance companies, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Horter Investment Management is individuals with 5,594 clients and $850.38 million of assets under management. Among the 9 most similar advisory firms, Horter Investment Management has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $883.35 million for 5,633 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Horter Investment Management doesn't advise any private funds.

Careers at Horter Investment Management, LLC

The company employs 174 people that are either part- or full-time employees. 89 percent of the employees work as investment advisers or researchers. 154 employees are registered as investment adviser representatives with the state securities authorities.

There are 55 people with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Drew Kent Horter	President / ceo	1 May 1991	75% - 100%	1049771
Kirk Horter	Director of operations	1 Mar 2008	Other	5520368
Judith Lynne Helmes Sneed	Director of technology & business development	1 Mar 2008	Other	5520374
Judith Helmes	Controller	1 Mar 2008	Other	5520374
Marie Lynn Upton	Chief compliance officer	1 Mar 2008	Other	1083333
Judith L Helmes	Chief compliance officer & controller	1 Mar 2008	Other	5520374
Chad M Kohler	Chief compliance officer	1 Jul 2008	Other	5114225
Drew K Horter	Chief compliance officer	1 Jul 2008	Other	5114225
Drew Kent Horter	Chief compliance officer	1 Sep 2009	75% - 100%	1049771
Evan Rhys Rosser	Chief compliance officer	1 Feb 2015	Other	863944
Jason David Long	Chief compliance officer	1 Apr 2016	Other	5307590
John Fredrik Peters	Director of advisor development	1 Jul 2017	Other	1311252

Based in Cincinnati

The principal office where Horter Investment Management, LLC performs its advisory services is located at 11726 Seven Gables Rd, Cincinnati, OH 45249, which is also the mailing address of the firm. An additional office of the firm is in Rio Rancho, NM. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 513-984-9933 or by fax 513-984-5219. The normal business hours are 8:30 - 5:00 on Monday - Friday. You can find more information about the New York firm at hortertrustedadvisors.com and its LinkedIn profile.