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HORTER INVESTMENT MANAGEMENT, LLC
CRD 119880File 801-67471
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Aug 6, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$314.5M
Below cohort median (national)
Discretionary AUM
$314.5M
Clients
1,337
2,296 accounts
Employees
43
Below cohort median in OH
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- CHRO
- Registration date
- Jan 12, 2007
- Principal office
- 11726 SEVEN GABLES RD, SYMMES TOWNSHIP, CINCINNATI, OH, 45249
- Phone
- 513-984-9933
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $314.5M
- Discretionary AUM
- $314.5M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 2,296
- Non-discretionary accounts
- 0
- Total accounts
- 2,296
- AUM per client
- $235K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 22 | $14.9M |
| Other investment advisers | 15 | $3.8M |
| High net worth individuals | 74 | $121.2M |
| Pension and profit sharing plans | 8 | $7.3M |
| Individuals (other than high net worth individuals) | 1,218 | $167.3M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Other
- Publications
- Financial planning services
- Selection of other advisers
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- Yes
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11
- Q11G
- Q11C1
- Q11C2
- Q11C4
- Q11C5
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 41 | 43 | increased by2 |
| Apr 1, 2026 | Clients | 1,302,710 | 1,337 | decreased by1,301,373 |
| Apr 1, 2026 | AUM | $277,989,460 | $314,499,558 | increased by$36,510,098 |
| Apr 1, 2026 | Accounts | 2,136 | 2,296 | increased by160 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 64 | 41 | decreased by23 |
| May 1, 2025 vs Oct 1, 2022 | Custody | No | Yes | |
| May 1, 2025 vs Oct 1, 2022 | Clients | 1,920 | 1,302,710 | increased by1,300,790 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $354,328,597 | $277,989,460 | decreased by$76,339,137 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 3,145 | 2,136 | decreased by1,009 |
| Jul 1, 2022 | Employees | 66 | 64 | decreased by2 |
| Jul 1, 2022 | Clients | 1,954 | 1,920 | decreased by34 |
| Jul 1, 2022 | AUM | $385,481,133 | $354,328,597 | decreased by$31,152,536 |
| Jul 1, 2022 | Accounts | 3,177 | 3,145 | decreased by32 |
| Apr 1, 2022 | Employees | 84 | 66 | decreased by18 |
| Apr 1, 2022 | Clients | 3,781 | 1,954 | decreased by1,827 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “HORTER INVESTMENT” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“HORTER INVESTMENT” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.