HORTER INVESTMENT MANAGEMENT, LLC of CINCINNATI, OH is an SEC-registered investment adviser (CRD 119880). Regulatory assets under management: $314.5M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Charities, Corporations.
| Name | Role | Location |
|---|---|---|
| Drew Kent Horter | OWNER; PRESIDENT/CEO/MANAGING MEMBER; PRESIDENT/CEO/OWNER | — |
| Kevin Craig Hetzer | CHIEF OPERATING OFFICER | — |
| Robert Lee Hopkins | CHIEF COMPLIANCE OFFICER | — |
| Keith Andrew Schmidt | PRESIDENT | — |
| HORTER DREW KENT | CEO; CEO AND CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER (+3 more) | — |
| LONG JASON DAVID | CHIEF COMPLIANCE OFFICER | — |
| HORTER KIRK | DIRECTOR OF OPERATIONS | — |
| HELMES JUDITH | CHIEF COMPLIANCE OFFICER & CONTROLLER; CONTROLLER | — |
| UPTON MARIE LYNN | CHIEF COMPLIANCE OFFICER | — |
| HELMES JUDITH L | CHIEF COMPLIANCE OFFICER & CONTROLLER | — |
| HELMES-SNEED JUDITH LYNNE | CHIEF COMPLIANCE OFFICER & CONTROLLER; DIRECTOR OF TECHNOLOGY & BUSINESS DEVELOPMENT | — |
| KOHLER CHAD M | CHIEF COMPLIANCE OFFICER | — |
| HORTER DREW K | CHIEF COMPLIANCE OFFICER | — |
| ROSSER EVAN RHYS | CHIEF COMPLIANCE OFFICER | — |
| SCHMIDT STEVEN ANDREW | PRESIDENT | — |
| PETERS JOHN FREDRIK | DIRECTOR OF ADVISOR DEVELOPMENT; NON-EMPLOYEE OWNER | — |
| Hetzer Kevin Craig | CHIEF OPERATING OFFICER | — |
| MALGERI JAMES PACE | CHIEF OPERATING OFFICER | — |
| HOPKINS ROBERT LEE | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-09-08 | regulatory | THE SEC HAS ALLEGED THAT HORTER INVESTMENT MANAGEMENT AND DREW HORTER FAILED TO REASONABLY SUPERVISE FORMER INVESTMENT ADVISER REPRESENTATIVE KIMM HANNAN AND FAILED TO REASONABLY ADOPT AND IMPLEMENT POLICIES AND PROCEDURES DESIGNED TO SAFEGUARD CLIENT ASSETS AGAINST MISAPPROPRIATION BY MR. HANNAN AN… | Final | $100K |
| 2017-10-02 | regulatory | IN A DECEMBER 2014 SETTLEMENT WITH THE SEC, F-SQUARED INVESTMENTS, AN UNAFFILIATED FORMER SIGNAL PROVIDER TO HORTER INVESTMENT MANAGEMENT, ADMITTED THAT IT HAD VIOLATED FEDERAL SECURITIES LAWS RELATED TO INACCURATE PERFORMANCE INFORMATION FOR THE PERIOD APRIL 2001 THROUGH SEPTEMBER 2008. THE SEC CON… | Final | $250K |