# Howard Bailey Securities, LLC

> Howard Bailey Securities, LLC is an SEC-registered investment advisory firm in Fort Wayne, IN, registered since 2019, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated July 22, 2026.

- CRD: 282712
- Filed as: HOWARD BAILEY SECURITIES, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Fort Wayne, IN
- Filing period: October 2026
- Form ADV filing dated: July 22, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/282712
- AdvisorCensus page: https://advisorcensus.com/firm/howard-bailey-securities-llc-fort-wayne-in-282712

## Quick answers

**How is Howard Bailey Securities, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Howard Bailey Securities, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**How much does Howard Bailey Securities, LLC charge?**
Its Form ADV Part 2A brochure dated July 22, 2026 states: Up to $1,000,000: 1.35% a year; Above $1,000,001: 0.75% a year; Hourly rate: $50 to $200 an hour (financial planning/consulting fees); Flat fee: $1,000 to $5,000 (a comprehensive financial plan and/or consulting services). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Howard Bailey Securities, LLC located?**
Howard Bailey Securities, LLC's principal office is in Fort Wayne, IN, according to its Form ADV; the August 2026 filing also lists 4 other offices (Schedule D, Section 1.F).

**Is Howard Bailey Securities, LLC registered with the SEC or a state?**
Howard Bailey Securities, LLC is an SEC-registered investment advisory firm, registered since 2019. Status as filed: Approved. CRD 282712.

**How much does Howard Bailey Securities, LLC manage?**
Howard Bailey Securities, LLC reports $582,792,249 in regulatory assets under management in its Form ADV filing dated July 22, 2026 (100% discretionary).

**How have Howard Bailey Securities, LLC's assets and staff changed since 2021?**
In the Form ADV data for Howard Bailey Securities, LLC: Regulatory assets under management: $246,486,992 in the October 2021 data and $582,792,249 in the October 2026 data, up 136%. Total employees: 8 in October 2021 and 46 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Howard Bailey Securities, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (1,617); high net worth individuals (83); pension and profit sharing plans (but not the plan participants or government pension plans) (53).

**Which custodians does Howard Bailey Securities, LLC use?**
Howard Bailey Securities, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Fidelity Brokerage Services LLC as a custodian holding 10% or more of its separately managed account assets.

**Does Howard Bailey Securities, LLC report any disciplinary disclosures?**
Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation) and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). 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/282712

**Does Howard Bailey Securities, LLC state an account minimum?**
Its Form ADV Part 2A brochure dated July 22, 2026 says: "We have no minimum account opening balance."

**What changed in Howard Bailey Securities, LLC's recent Form ADV filings?**
In the April 2026 filing data: Employees performing advisory functions went from 16 to 15. Regulatory assets under management went from $484,882,228 to $582,792,249 (+20%). Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

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

### Fees and minimums (Form ADV Part 2A brochure dated July 22, 2026)

- Up to $1,000,000: 1.35% a year
- Above $1,000,001: 0.75% a year

> Our default annual fee is 1.35% for up to $1 Million in assets under managements. The annual fee will decrease to 0.75% for assets under management starting at $1,000,001.

- Account minimum: None

> We have no minimum account opening balance.

- Hourly rate: $50 to $200 an hour (financial planning/consulting fees)

> Our financial planning/consulting fees range from $50 to $200 per hour which may be negotiable depending upon the nature and complexity of the client's circumstances.

- Flat fee: $1,000 to $5,000 (a comprehensive financial plan and/or consulting services)

> Howard Bailey may also provide a comprehensive financial plan and/or consulting services for a fixed fee of $1,000-$5000, which may be negotiable depending upon the nature and complexity of the client's

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Fidelity Brokerage Services LLC

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: $582,792,249
- Discretionary: $582,792,249
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 1,617 | $403,650,149 |
| High net worth individuals | 83 | $169,880,751 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 53 | $7,314,109 |
| Corporations or other businesses not listed above | 3 | $1,947,240 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Other

### Firm details
- Registered since: 2019 (7 years)
- Employees: 46 total, 15 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: FL, GA, IN, MI, MO, NC, NV, OH, TX
- Disclosures (Item 11): Reports 2 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 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(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?

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/282712

### Other offices (Schedule D, Section 1.F), as of the August 2026 filing
- Brownsburg, IN
- Carmel, IN
- Mishawaka, IN
- Perrysburg, OH

### Websites listed on Form ADV (Item 1.I)
- [howardbailey.com](https://howardbailey.com)
- [retirewithpurpose.com](https://retirewithpurpose.com)
- Facebook @CaseyWeadeOfficial
- Facebook @HowardBaileyFinancial
- Instagram @casey_weade
- Instagram @howardbaileyfinancial
- LinkedIn @howardbaileyfinancial
- LinkedIn @casey-b-weade
- LinkedIn @the-purpose-based-retirement
- X @caseyweade
- YouTube @RetirewithPurpose

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $246,486,992 | 8 | March 31, 2021 |
| October 2022 | $340,214,421 | 12 | September 22, 2022 |
| October 2023 | $372,998,144 | 12 | March 31, 2023 |
| October 2024 | $463,303,000 | 15 | March 31, 2024 |
| October 2025 | $484,882,228 | 16 | June 10, 2025 |
| October 2026 | $582,792,249 | 46 | July 22, 2026 |

Regulatory assets under management: $246,486,992 in the October 2021 data and $582,792,249 in the October 2026 data, up 136%.
Total employees: 8 in October 2021 and 46 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Employees performing advisory functions went from 16 to 15.
- Regulatory assets under management went from $484,882,228 to $582,792,249 (+20%).
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Howard Bailey Securities, LLC (CRD 282712): Form ADV filing data as of October 2026.