Halter Ferguson Financial provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, and selecting other managers. Financial planning was provided to 101–250 clients last fiscal year. The firm advises 1 private fund.
Halter Ferguson Financial reports 292 clients. They include 194 high-net-worth individuals, 97 individual clients and 1 pooled investment vehicle. Of its assets, 100.0% ($705M across 1,076 accounts) are managed with discretion. It advised 4 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 33% | 7% |
| High-net-worth individuals | 66% | 92% |
| Pooled investment vehicles | <1% | <1% |
| Charitable organizations | Fewer than 5 | <1% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 97 | $48.3M | 6.9% | $498K |
| High-net-worth individuals | 194 | $650M | 92.2% | $3.35M |
| Pooled investment vehicles | 1 | $3.83M | 0.5% | $3.83M |
| Charitable organizations | Fewer than 5 | $3.04M | 0.4% | — |
| Total | 292 | $705M | 100% | — |
- Clients
- 97
- Regulatory AUM
- $48.3M
- AUM share
- 6.9%
- Avg. per client
- $498K
- Clients
- 194
- Regulatory AUM
- $650M
- AUM share
- 92.2%
- Avg. per client
- $3.35M
- Clients
- 1
- Regulatory AUM
- $3.83M
- AUM share
- 0.5%
- Avg. per client
- $3.83M
- Clients
- Fewer than 5
- Regulatory AUM
- $3.04M
- AUM share
- 0.4%
- Avg. per client
- —
Total
- Clients
- 292
- Regulatory AUM
- $705M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 4
- Private funds advised
- 1
- Financial planning clients last fiscal year
- 101–250
Halter Ferguson Financial is paid through a percentage of assets under management, hourly charges, fixed fees (other than subscription fees) and performance-based fees. The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure.
Bradford Ferguson owns 75% or more of Halter Ferguson Financial. The leadership team of Halter Ferguson Financial includes President Bradford Ferguson and Chief Compliance Officer Matthew Smith. It has 15 employees, 7 of them in advisory roles.
Leadership
Bradford FergusonPresident- Matthew SmithChief Compliance Officer
Investment adviser representatives
8 representatives listed in the SEC register as of 9 October 2026.
Staff
- 15 employees
- 7 in advisory functions
- 5 state-registered reps
- Owns 75% or more of Halter Ferguson Financial Inc
Bradford Ferguson
Control person · since February 2020
Halter Ferguson Financial’s regulatory assets grew 2.3× from $301M (March 2021) to $705M (October 2026); clients rose from 228 to 292 and employees from 9 to 15.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| October 2026 | $705M | 292 | 15 | 1 |
| February 2025 | $488M | 274 | 12 | 1 |
| March 2024 | $378M | 264 | 9 | 1 |
| May 2023 | $267M | 267 | 9 | 1 |
| February 2022 | $343M | 252 | 9 | 1 |
| March 2021 | $301M | 228 | 9 | 1 |
Besides its headquarters, Halter Ferguson Financial has 0 offices, with 1 listed address in Indiana.
Indiana · 1 listed address
- 13080 Grand BLVD., Suite 130, CarmelHQ
Contact and registration details
- Legal name
- Halter Ferguson Financial Inc
- Headquarters
- 13080 Grand BLVD., Suite 130, Carmel, IN 46032
- Website
- hffinancial.com
- Phone
- 317-875-0202
- @5428171
- SEC file
- 801-57288
- Founded
- 1986
- Structure
- Indiana corporation
- Fiscal year end
- December
Halter Ferguson Financial uses Charles Schwab ($449M, 64%) and Fidelity ($252M, 36%) as custodians for its separately managed accounts. Halter Ferguson Financial has custody of $528M in client assets for 193 clients.
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $449M64%
- FidelityFidelity Brokerage Services LLC · Smithfield, RI · $252M36%
At year end, Halter Ferguson Financial’s separately managed accounts were mostly in stocks (57%) and funds (33%). Its reported 13F holdings for the quarter ended 30 June 2026 total $617M across 36 positions; the largest are Tesla Inc. (42.9%), Lemonade Inc. (10.6%) and Upstart Hldgs Inc. (10.0%).
What the accounts hold
- Stocks57%
- Funds33%
- Bonds7%
- State and local bonds4%
- U.S. government and agency bonds1%
- Investment grade corporate bonds1%
- High-yield corporate bonds1%
- Cash6%
- Other1%
- Derivatives1%
Reported 13F holdings
- $617M
- Reported 13F value
- 36
- Positions
- 90.5%
- In the 10 largest
- +35.5%
- Value vs. prior quarter
- Tesla Inc.42.9%
- Lemonade Inc.10.6%
- Upstart Hldgs Inc.10.0%
- Invesco Qqq TR · Unit Ser 17.6%
- Unusual Machs Inc. · Com Shs5.5%
- State Str SPDR S&P 500 ETF T · TR Unit4.4%
- Micron Technology Inc.3.4%
- Oscar Health Inc. · CL A2.9%
- Eli Lilly & CO1.6%
- Amazon Com Inc.1.6%
Together, the ten largest are 90.5% of reported value.
How many clients does Halter Ferguson Financial have?
Halter Ferguson Financial has 292 clients and manages $705 million for them, as of October 2026. They include 194 high-net-worth individuals, 97 individual clients and 1 pooled investment vehicle.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 1 October 2026
What services does Halter Ferguson Financial offer?
Halter Ferguson Financial provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, and selecting other managers.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Halter Ferguson Financial use?
Halter Ferguson Financial’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $449M and Fidelity Brokerage Services LLC (Smithfield, RI), with $252M. 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 October 2026
How many financial advisors does Halter Ferguson Financial have?
Halter Ferguson Financial has 5 investment adviser representatives registered with state securities authorities, out of 15 employees, and 7 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Halter Ferguson Financial invest in?
At the end of its last fiscal year, Halter Ferguson Financial’s separately managed accounts held 57% exchange-traded equities, 33% registered funds (mutual funds, ETFs, BDCs), 6% cash and equivalents, 4% state and local bonds, 1% U.S. government and agency bonds, 1% investment grade corporate bonds, 1% high-yield corporate bonds and 1% derivatives. It advises 1 private fund.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Halter Ferguson Financial?
Halter Ferguson Financial’s direct owner is Bradford Ferguson (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 1 October 2026
How does Halter Ferguson Financial get paid?
Halter Ferguson Financial is paid through a percentage of assets under management, hourly charges, fixed fees and performance-based fees. Its Form ADV lists no commissions among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
Is Halter Ferguson Financial registered with the SEC?
Yes, Halter Ferguson Financial has been registered with the SEC as an investment adviser since 18 February 2000. Its CRD number is 109563 and its SEC file number is 801-57288.
Source: Form ADV Part 1A, Item 1, filed 1 October 2026; IAPD firm record
How do I contact Halter Ferguson Financial?
Halter Ferguson Financial’s main office is at 13080 Grand BLVD., Suite 130, Carmel, IN 46032. Its phone number is 317-875-0202. Its website is hffinancial.com.