{
  "crd_number": 119880,
  "slug": "horter-investment-management-llc-cincinnati-oh-119880",
  "primary_business_name": "HORTER INVESTMENT MANAGEMENT, LLC",
  "legal_name": "HORTER INVESTMENT MANAGEMENT, LLC",
  "dbas": [
    "ABSOLUTE WEALTH MANAGEMENT GROUP",
    "APPLIED CONCEPTS FINANCIAL SERVICS",
    "CELTIC GUARD FINANCIAL PLANNING",
    "CROIX RIVER WEALTH MANAGEMENT",
    "DEFENSE FIRST FINANCIAL",
    "ECCARIUS FINANCIAL",
    "GEFF LEWIS AND ASSOCIATES",
    "JENSEN FINANCIAL GROUP",
    "LIGHTFIELD WEALTH MANAGEMENT",
    "MARRA FINANCIAL GROUP",
    "OCASIO FINANCIAL SERVICES, LLC",
    "PERLIN RETIREMENT SOLUTIONS",
    "STEPHEN DISSETTE & ASSOCIATES",
    "TIDMORE FINANCIAL",
    "WLEM FINANCIAL ADVISORS"
  ],
  "city": "Cincinnati",
  "state": "OH",
  "country": "United States",
  "cbsa_code": "17140",
  "metro": {
    "cbsa_code": "17140",
    "common_name": "Cincinnati",
    "msa_name": "Cincinnati, OH-KY-IN",
    "path": "/advisors/oh/cincinnati"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2007-01-12",
  "years_registered": 19,
  "period": "2026-10-01",
  "filing_date": "2026-08-06",
  "carried_forward": false,
  "raum_total": 314499558.0,
  "raum_discretionary": 314499558.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 43,
  "advisory_employees": 29,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 167262287.0,
      "count": 1218
    },
    "pension_profit_sharing": {
      "raum": 7283477.0,
      "count": 8
    },
    "other_investment_advisers": {
      "raum": 3830209.0,
      "count": 15
    },
    "high_net_worth_individuals": {
      "raum": 121217639.0,
      "count": 74
    },
    "corporations_other_businesses": {
      "raum": 14905946.0,
      "count": 22
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "educational_seminars",
    "financial_planning",
    "periodicals_newsletters",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 5,
  "states_registered": [
    "AK",
    "AL",
    "AR",
    "AZ",
    "CA",
    "CO",
    "CT",
    "DC",
    "DE",
    "FL",
    "GA",
    "HI",
    "IA",
    "ID",
    "IL",
    "IN",
    "KS",
    "KY",
    "LA",
    "MA",
    "MD",
    "ME",
    "MI",
    "MN",
    "MO",
    "MS",
    "MT",
    "NC",
    "ND",
    "NE",
    "NH",
    "NJ",
    "NM",
    "NV",
    "NY",
    "OH",
    "OK",
    "OR",
    "PA",
    "RI",
    "SC",
    "SD",
    "TN",
    "TX",
    "UT",
    "VA",
    "VI",
    "VT",
    "WA",
    "WI",
    "WV",
    "WY"
  ],
  "websites": [
    "https://facebook.com/horterinvestment",
    "https://horterinvestment.com",
    "https://instagram.com/explore/locations/1029907303/horter-investment-management-llc",
    "https://linkedin.com/company/horter-investment-management-llc",
    "https://twitter.com/HIM_RIA"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/119880",
  "disclosure_items": [
    {
      "item": "11.C(1)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?"
    },
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    },
    {
      "item": "11.G",
      "question": "Is the firm or an advisory affiliate now the subject of a regulatory proceeding that could result in a yes answer to any part of 11.C, 11.D, or 11.E?"
    }
  ],
  "city_as_filed": "CINCINNATI",
  "url": "https://advisorcensus.com/firm/horter-investment-management-llc-cincinnati-oh-119880",
  "display_name": "Horter Investment Management, LLC",
  "summary": "Horter Investment Management, LLC is an SEC-registered investment advisory firm in Cincinnati, OH, registered since 2007, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated August 6, 2026.",
  "citation": "AdvisorCensus. Horter Investment Management, LLC (CRD 119880): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Selection of other advisers (including private fund managers)",
    "Publication of periodicals or newsletters",
    "Educational seminars/workshops"
  ],
  "quick_answers": [
    {
      "q": "How is Horter Investment Management, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Horter Investment Management, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)."
    },
    {
      "q": "Where is Horter Investment Management, LLC located?",
      "a": "Horter Investment Management, LLC's principal office is in Cincinnati, OH, according to its Form ADV; the September 2026 filing also lists 5 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Horter Investment Management, LLC registered with the SEC or a state?",
      "a": "Horter Investment Management, LLC is an SEC-registered investment advisory firm, registered since 2007. Status as filed: Approved. CRD 119880."
    },
    {
      "q": "How much does Horter Investment Management, LLC manage?",
      "a": "Horter Investment Management, LLC reports $314,499,558 in regulatory assets under management in its Form ADV filing dated August 6, 2026 (100% discretionary)."
    },
    {
      "q": "How have Horter Investment Management, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Horter Investment Management, LLC: Regulatory assets under management: $379,773,623 in the October 2021 data and $314,499,558 in the October 2026 data, down 17%. Total employees: 84 in October 2021 and 43 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Horter Investment Management, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (1,218); high net worth individuals (74); corporations or other businesses not listed above (22)."
    },
    {
      "q": "Which custodians does Horter Investment Management, LLC use?",
      "a": "Horter Investment Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Horter Investment Management, LLC report any disciplinary disclosures?",
      "a": "Reports 5 disclosure items on Form ADV Item 11: yes answers to 11.C(1) (SEC or CFTC finding of a false statement or omission), 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order), and 11.G (pending regulatory proceeding). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/119880"
    },
    {
      "q": "What changed in Horter Investment Management, LLC's recent Form ADV filings?",
      "a": "In the September 2026 filing data: No longer lists the business name Snyder Financial, Inc.. No longer lists an office in North Myrtle Beach, NC."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 379773623.0,
      "total_employees": 84,
      "filing_date": "2021-05-28"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 354328597.0,
      "total_employees": 64,
      "filing_date": "2022-06-24"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 227055000.0,
      "total_employees": 56,
      "filing_date": "2023-08-02"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 214109003.0,
      "total_employees": 44,
      "filing_date": "2024-03-26"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 277989460.0,
      "total_employees": 41,
      "filing_date": "2025-02-21"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 314499558.0,
      "total_employees": 43,
      "filing_date": "2026-08-06"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-09-01",
      "period_label": "September 2026",
      "notes": [
        "No longer lists the business name Snyder Financial, Inc..",
        "No longer lists an office in North Myrtle Beach, NC."
      ]
    },
    {
      "period": "2026-08-01",
      "period_label": "August 2026",
      "notes": [
        "No longer lists the business name Roadmap Financial Consulting, LLC.",
        "Added an office in North Myrtle Beach, NC.",
        "No longer lists an office in Greensboro, NC."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "No longer lists the business name Financial Freedom Partners, LLC.",
        "Added the business name Ocasio Financial Services, LLC.",
        "Added the business name Eccarius Financial.",
        "Employees performing advisory functions went from 33 to 29.",
        "Regulatory assets under management went from $277,989,460 to $314,499,558 (+13%).",
        "Added an office in Columbus, OH.",
        "Added an office in Kingman, AZ."
      ]
    },
    {
      "period": "2025-12-01",
      "period_label": "December 2025",
      "notes": [
        "No longer lists the business name Safe Harbor Financial.",
        "No longer lists the business name Lamb Capital, LLC.",
        "No longer lists an office in West Deptford, NJ."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/horter-investment-management-llc-cincinnati-oh-119880.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 1218,
      "fewer_than_5": false,
      "raum": 167262287.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 74,
      "fewer_than_5": false,
      "raum": 121217639.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 8,
      "fewer_than_5": false,
      "raum": 7283477.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 15,
      "fewer_than_5": false,
      "raum": 3830209.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 22,
      "fewer_than_5": false,
      "raum": 14905946.0
    }
  ],
  "disclosure_line": "Reports 5 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/119880",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}