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85
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HORTER INVESTMENT MANAGEMENT, LLC

11726 SEVEN GABLES RD, CINCINNATI, OH 45249
Fiduciaryfee-onlySEC Registered
513-984-9933 twitter.com/HIM_RIA?ref_src=twsrc%5Egoogle%7Ctwcamp%5Eserp%7Ctwgr%5Eauthor CRD #119880
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$314M
Assets Managed
29
Clients
43
Employees
19
Years Active
since 2007

Compensation Model

% of Assets (AUM)
Hourly Fees
Fixed / Flat Fees
Commissions
Performance Fees

Compensation type disclosed on SEC Form ADV Item 5C. Filed 46120. Specific fee percentages are available in this firm's Form ADV Part 2A brochure at adviserinfo.sec.gov.

Conflict of Interest Analysis

Broker-Dealer Affiliated: No

No broker-dealer affiliation. Lower risk of commission-driven advice.

Insurance Licensed: No

Not insurance licensed. Cannot sell you annuity or insurance products directly.

Custody of Client Assets: Yes

This firm has direct custody of client assets, rather than using an independent custodian. This is a higher-risk arrangement that requires additional regulatory safeguards.

Proprietary Products: No

Uses only third-party investment products. No proprietary product conflicts.

Regulatory & Disciplinary History

regulatory46120

1 regulatory action(s), 1 termination(s) from a firm disclosed on Form ADV Item 11.

Resolved

Total complaints on record: 0

Complaint ratio: 0.00 per 100 clients

Industry average is approximately 0.15 complaints per 100 clients. A ratio above 0.30 is considered elevated.

Firm Details

Legal NameHORTER INVESTMENT MANAGEMENT, LLC
CRD Number#119880
SEC RegisteredYes
Registration Date2007-01-12
States RegisteredOH
Assets Under Management$314M
Number of Clients29
Employees43
Compensation Typefee-only
Last ADV Filing46120

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Frequently Asked Questions

Is HORTER INVESTMENT MANAGEMENT, LLC a fiduciary?

Yes. HORTER INVESTMENT MANAGEMENT, LLC is a registered investment adviser (RIA) with the SEC, which means they are legally required to act as a fiduciary — putting your interests ahead of their own.

How does HORTER INVESTMENT MANAGEMENT, LLC charge clients?

HORTER INVESTMENT MANAGEMENT, LLC uses a fee-only compensation model. Full fee details are in their Form ADV Part 2A brochure at adviserinfo.sec.gov.

Does HORTER INVESTMENT MANAGEMENT, LLC have any complaints?

No. HORTER INVESTMENT MANAGEMENT, LLC has zero complaints or disciplinary actions on file with the SEC or FINRA across 19 years of operation.

How does HORTER INVESTMENT MANAGEMENT, LLC compare to other advisors in CINCINNATI?

HORTER INVESTMENT MANAGEMENT, LLC has a Red Flag Score of 85/100. There are 83 registered advisory firms in CINCINNATI. Use our city page to compare firms side by side.

Where does this data come from?

All information is sourced from SEC Form ADV public filings (mandatory regulatory disclosures) and FINRA BrokerCheck records. Last updated: 2026-06-24. We do not accept payment from financial advisors.

Data source: SEC Form ADV (Parts 1 and 2A) filed with the Investment Adviser Registration Depository (IARD). Filing date: 46120. Last data refresh: 2026-06-24. AdvisorRanked does not verify the accuracy of SEC filings. This is not financial advice.