# Hozie Consulting

> Hozie Consulting is a state-registered investment advisory firm, registered since 2021, reporting under $25 million in regulatory assets under management in its Form ADV filing dated February 26, 2026.

- CRD: 310894
- Filed as: HOZIE CONSULTING
- Legal name: Hozie Consulting, LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Registered in Texas
- Filing period: October 2026
- Form ADV filing dated: February 26, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/310894
- AdvisorCensus page: https://advisorcensus.com/firm/hozie-consulting-310894

## Quick answers

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

**Is Hozie Consulting registered with the SEC or a state?**
Hozie Consulting is a state-registered investment advisory firm, registered since 2021. Status as filed: APPROVED. CRD 310894.

**How much does Hozie Consulting manage?**
Hozie Consulting reports $17,149,532 in regulatory assets under management in its Form ADV filing dated February 26, 2026 (100% discretionary).

**What types of clients does Hozie Consulting serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (8); individuals (other than high net worth individuals) (6).

**Does Hozie Consulting report any disciplinary disclosures?**
Reports 8 disclosure items on Form ADV Item 11: yes answers to 8 questions about regulatory matters (11.C(1), 11.C(2), 11.C(4), 11.C(5), 11.D(4), 11.D(5), 11.E(4), 11.F). 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 public record on IAPD: https://adviserinfo.sec.gov/firm/summary/310894

## From the Form ADV filing

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

### Regulatory assets under management (Item 5.F)
- Total: $17,149,532
- Discretionary: $17,149,532
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 6 | $767,750 |
| High net worth individuals | 8 | $16,381,782 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2021 (5 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: TX
- Disclosures (Item 11): Reports 8 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.D(4): In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.D(5): Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?
- 11.E(4): Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?
- 11.F: Has an authorization to act as an attorney, accountant, or federal contractor granted to the firm or an advisory affiliate ever been revoked or suspended?

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 public record on IAPD: https://adviserinfo.sec.gov/firm/summary/310894

### Websites listed on Form ADV (Item 1.I)
- Facebook @Hozie-Consulting-LLC
- LinkedIn @stephenhozie

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Hozie Consulting (CRD 310894): Form ADV filing data as of October 2026.