# Horter Investment Management, LLC

> 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.

- CRD: 119880
- Filed as: HORTER INVESTMENT MANAGEMENT, LLC
- Also doing business as: 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
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Cincinnati, OH
- Filing period: October 2026
- Form ADV filing dated: August 6, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/119880
- AdvisorCensus page: https://advisorcensus.com/firm/horter-investment-management-llc-cincinnati-oh-119880

## Quick answers

**How is Horter Investment Management, LLC compensated?**
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).

**Where is Horter Investment Management, LLC located?**
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).

**Is Horter Investment Management, LLC registered with the SEC or a state?**
Horter Investment Management, LLC is an SEC-registered investment advisory firm, registered since 2007. Status as filed: Approved. CRD 119880.

**How much does Horter Investment Management, LLC manage?**
Horter Investment Management, LLC reports $314,499,558 in regulatory assets under management in its Form ADV filing dated August 6, 2026 (100% discretionary).

**How have Horter Investment Management, LLC's assets and staff changed since 2021?**
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.

**What types of clients does Horter Investment Management, LLC serve?**
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).

**Which custodians does Horter Investment Management, LLC use?**
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.

**Does Horter Investment Management, LLC report any disciplinary disclosures?**
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

**What changed in Horter Investment Management, LLC's recent Form ADV filings?**
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.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

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.

### Regulatory assets under management (Item 5.F)
- Total: $314,499,558
- Discretionary: $314,499,558
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 1,218 | $167,262,287 |
| High net worth individuals | 74 | $121,217,639 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 8 | $7,283,477 |
| Other investment advisers | 15 | $3,830,209 |
| Corporations or other businesses not listed above | 22 | $14,905,946 |

### Advisory services (Item 5.G)
- 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

### Firm details
- Registered since: 2007 (19 years)
- Employees: 43 total, 29 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: 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
- Disclosures (Item 11): Reports 5 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(1): Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?
- 11.C(2): 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?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): 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?
- 11.G: 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/119880

### Other offices (Schedule D, Section 1.F), as of the September 2026 filing
- Columbus, OH
- Kingman, AZ
- Springfield, PA
- Trail Creek, IN
- Virginia Beach, VA

### Websites listed on Form ADV (Item 1.I)
- horterinvestment.com
- Facebook @horterinvestment
- Instagram @explore
- LinkedIn @horter-investment-management-llc
- X @HIM_RIA

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $379,773,623 | 84 | May 28, 2021 |
| October 2022 | $354,328,597 | 64 | June 24, 2022 |
| October 2023 | $227,055,000 | 56 | August 2, 2023 |
| October 2024 | $214,109,003 | 44 | March 26, 2024 |
| October 2025 | $277,989,460 | 41 | February 21, 2025 |
| October 2026 | $314,499,558 | 43 | August 6, 2026 |

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.

## Changes in the filing (last 12 months)

### September 2026
- No longer lists the business name Snyder Financial, Inc..
- No longer lists an office in North Myrtle Beach, NC.

### August 2026
- 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.

### April 2026
- 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.

### December 2025
- 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.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Horter Investment Management, LLC (CRD 119880): Form ADV filing data as of October 2026.