Halter Ferguson Financial Inc (Indianapolis)

Name: Halter Ferguson Financial Inc
Address: 7702 Woodland Dr, Suite 150, Indianapolis, IN, 46278
Telephone: 317-875-0202

Halter Ferguson Financial Inc is a large advisory firm based in Indianapolis. It manages $142.08 million of regulatory assets for 539 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Florida, Indiana, and Texas.

Halter Ferguson Financial provides financial planning services, portfolio management for individuals and small businesses, and selection of other advisers. It prepares financial plans for more than 100 clients. On top of advisory services, the firm doesn't engage in other business activities.

Halter Ferguson Financial: assets under management

The assets under management (AUM) of Halter Ferguson Financial Inc is $142.08 million. The firm's AUM has grown by 168% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $141.57 million in discretionary accounts and $514.03 thousand in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $267.62 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $51.4 thousand.

Halter Ferguson Financial has custody of $5.25 million in cash and securities for 6 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in investment and business development companies the most. They account for 72% of the total AUM. The second-largest asset type is exchange traded securities, which make up 18% of the firm’s portfolio. Investments in cash and cash equivalents form 5% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Halter Ferguson Financial Inc for their services and products based on a percentage of assets under management and hourly charges. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Scott Ferguson serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Scott Ferguson is high net worth individuals with 39 clients and $75.18 million of assets under management. Among the 11 most similar advisory firms, Halter Ferguson Financial has the 6th highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $139.5 million for 196 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Halter Ferguson Financial doesn't advise any private funds.

Careers at Halter Ferguson Financial Inc

The company employs 5 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 3 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Scott Ferguson has been acting as President since 1 Jul 2000. Bradford Scott Ferguson joined the executive team most recently as the Sec/Treas.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Scott K Ferguson	President, chief compliance officer	1 Jul 2000	75% - 100%	2587026
Scott Ferguson	President	1 Jul 2000	50% - 75%	2587026
Cristie Sue Halter	Secretary treasurer	1 Jul 2000	50% - 75%	2642122
Bradford Scott Ferguson	Sec/treas	1 Jan 2012	Other	5062898

Based in Indianapolis

The principal office where Halter Ferguson Financial Inc performs its advisory services is located at 7702 Woodland Dr, Suite 150, Indianapolis, IN 46278, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 317-875-0202 or by fax 317-875-0909. The normal business hours are 8am-5pm on Monday - Friday. You can find more information about the New York firm at hffinancial.com.