{"url":"https://nivawealth.com/firms/halter-ferguson-financial-109563","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/109563","regulatoryAum":704950608,"crd":"109563","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"8269932","suffix":null,"lastName":"Angelo","firstName":"Lisa","middleName":"Marie 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Ferguson Financial Inc","displayName":"Halter Ferguson Financial","slug":"halter-ferguson-financial-109563","website":"https://hffinancial.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/5428171/","founded":"1986","organization":"Indiana corporation","fiscalYearEnd":"December","headquarters":{"street":"13080 Grand BLVD., Suite 130","city":"Carmel","state":"IN","stateName":"Indiana","country":"United States","postalCode":"46032"},"tradeNames":[],"registration":{"secApproved":"18 February 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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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Halter Ferguson Financial offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Halter Ferguson Financial use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Halter Ferguson Financial have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Halter Ferguson Financial invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Halter Ferguson Financial?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Halter Ferguson Financial get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Halter Ferguson Financial registered with the SEC?","answer":"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","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Halter Ferguson Financial?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 1 October 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":{"url":"https://nivawealth.com/firms/halter-ferguson-financial-109563/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-08-03","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/1842665/000184266526000005/0001842665-26-000005-index.html","totalValue":617393722,"positionCount":36,"top10Share":0.9045901215043454,"top10":[{"issuer":"TESLA INC","titleOfClass":"COM","cusip":"88160R101","value":264638845,"shares":629194,"shareType":"SH","priorValue":215749479,"priorShares":580362},{"issuer":"LEMONADE INC","titleOfClass":"COM","cusip":"52567D107","value":65428279,"shares":1005815,"shareType":"SH","priorValue":34243589,"priorShares":546324},{"issuer":"UPSTART HLDGS 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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."}