{"url":"https://nivawealth.com/firms/h-l-ormond-and-company-313593","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/313593","regulatoryAum":401376690,"crd":"313593","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2674014","suffix":null,"lastName":"COREY","firstName":"MICHELLE","middleName":"ANN"},{"crd":"1593750","suffix":null,"lastName":"HARDEE","firstName":"LISA","middleName":"WOOTEN"},{"crd":"4128152","suffix":"JR","lastName":"HOYT","firstName":"JOHN","middleName":"KEAIS"},{"crd":"5833768","suffix":null,"lastName":"HOYT","firstName":"TANNER","middleName":"KEAIS"},{"crd":"1526791","suffix":"III","lastName":"ORMOND","firstName":"HERBERT","middleName":"LYMAN"}],"total":5,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-07-02","regulatoryAum":0,"clients":0,"employees":4,"offices":1},{"filedOn":"2022-03-11","regulatoryAum":336700000,"clients":215,"employees":4,"offices":1},{"filedOn":"2023-03-23","regulatoryAum":274471150,"clients":249,"employees":4,"offices":1},{"filedOn":"2024-03-22","regulatoryAum":316737721,"clients":273,"employees":3,"offices":1},{"filedOn":"2025-03-10","regulatoryAum":359744989,"clients":256,"employees":3,"offices":1},{"filedOn":"2026-05-01","regulatoryAum":401376690,"clients":282,"employees":7,"offices":2}],"secFileNumber":"801-120841","legalName":"H. L. Ormond & Company, LLC","displayName":"H. L. Ormond & Company","slug":"h-l-ormond-and-company-313593","website":"https://hlormond.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":"2010","organization":"North Carolina limited liability company","fiscalYearEnd":"December","headquarters":{"street":"1001 Conference Drive, Suite A","city":"Greenville","state":"NC","stateName":"North Carolina","country":"United States","postalCode":"27858"},"tradeNames":["Hoyt Family Wealth Management"],"registration":{"secApproved":"16 April 2021","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1301926.9566787004,"staff":{"employees":7,"advisory":4,"brokerDealerReps":0,"insuranceAgents":3,"promoters":0},"aum":{"regulatory":401376690,"discretionary":383828048,"discretionaryAccounts":1154,"nonDiscretionary":17548642,"nonDiscretionaryAccounts":45,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":1},"clientTypes":[{"label":"Individuals (other than HNW)","clients":179,"regulatoryAum":54262231},{"label":"High-net-worth individuals","clients":98,"regulatoryAum":306371536},{"label":"Pension and profit-sharing plans","clients":null,"fewerThan5":true,"regulatoryAum":22990811},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":5821484},{"label":"Corporations and other businesses","clients":5,"regulatoryAum":11930628}],"feePrograms":[{"role":"other","program":"Retirement Services: SIMPLE IRA Plans","summary":"The advisory fee for clients invested in SIMPLE IRA plans ranges from 0.25% to 0.75%, depending on the overall plan size.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1043673","versionId":1043673,"submittedOn":"2026-05-01","documentName":"HL ORMOND ADV PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T11:00:12.654058+00:00","documents":[{"name":"HL ORMOND ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1043673","versionId":1043673,"submittedOn":"2026-05-01"}]},"custodians":[{"name":"Raymond James & Associates, Inc.","shortName":"Raymond James","location":"St. Petersburg, FL","smaAssets":380081080}],"custodyNote":"H. L. Ormond & Company has custody of $16M in client assets for 26 clients.","otherCustodians":[],"leadership":[{"name":"Herbert Ormond","title":"Managing Member / President & Chief Investment Officer","crd":"1526791"},{"name":"Sharon Dew","title":"Office Administrator and Client Service Associate / Chief Compliance Officer","crd":"4801372"}],"ownership":[{"label":"Herbert Ormond","detail":"Managing member / president & chief investment officer in the 75% or more ownership band and a control person, since April 2021."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"North Carolina","offices":2,"addresses":[{"street":"1001 Conference Drive, Suite A","city":"Greenville","headquarters":true},{"street":"1001 Conference Drive","city":"Greenville"}]}],"brochureServices":["insurance","retirement plan services"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"252-756-4010","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":27},{"label":"Securities issued by registered investment companies or business development companies","percent":65},{"label":"Cash and cash equivalents","percent":8}],"privateFunds":0},"sources":{"adv1FilingDate":"1 May 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/313593/PDF/313593.pdf","brochureDate":"1 May 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1043673","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does H. L. Ormond & Company have?","answer":"H. L. Ormond & Company has 282 clients and manages $401 million for them, as of May 2026. They include 179 individual clients, 98 high-net-worth individuals, and 5 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 1 May 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does H. L. Ormond & Company offer?","answer":"H. L. Ormond & Company provides financial planning, portfolio management for individuals and small businesses, selecting other managers, insurance, and retirement plan services.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does H. L. Ormond & Company use?","answer":"H. L. Ormond & Company’s separately managed account assets are held at Raymond James & Associates, Inc. (St. Petersburg, FL), with $380M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 1 May 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does H. L. Ormond & Company have?","answer":"H. L. Ormond & Company has 4 investment adviser representatives registered with state securities authorities, out of 7 employees, and 4 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 3 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does H. L. Ormond & Company invest in?","answer":"At the end of its last fiscal year, H. L. Ormond & Company’s separately managed accounts held 65% registered funds (mutual funds, ETFs, BDCs), 27% exchange-traded equities and 8% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns H. L. Ormond & Company?","answer":"H. L. Ormond & Company’s direct owner is Herbert Ormond (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 1 May 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does H. L. Ormond & Company get paid?","answer":"H. L. Ormond & Company is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact H. L. Ormond & Company?","answer":"H. L. Ormond & Company’s main office is at 1001 Conference Drive, Suite A, Greenville, NC 27858. Its phone number is 252-756-4010. Its website is hlormond.com.","source":"Form ADV Part 1A, Item 1.F, filed 1 May 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}