Haven Capital Group provides financial planning, portfolio management for individuals and small businesses, and portfolio management for institutions. Financial planning was provided to 11–25 clients last fiscal year.
Haven Capital Group reports 118 clients. They include 82 high-net-worth individuals and 36 individual clients. Of its assets, 100.0% ($144M across 125 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 31% | 5% |
| High-net-worth individuals | 69% | 91% |
| Pension and profit-sharing plans | Fewer than 5 | 4% |
| Charitable organizations | Fewer than 5 | <1% |
| Corporations and other businesses | 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) | 36 | $6.56M | 4.6% | $182K |
| High-net-worth individuals | 82 | $131M | 90.8% | $1.59M |
| Pension and profit-sharing plans | Fewer than 5 | $5.65M | 3.9% | — |
| Charitable organizations | Fewer than 5 | $1.03M | 0.7% | — |
| Corporations and other businesses | Fewer than 5 | $2.64K | 0.0% | — |
| Total | 118 | $144M | 100% | — |
- Clients
- 36
- Regulatory AUM
- $6.56M
- AUM share
- 4.6%
- Avg. per client
- $182K
- Clients
- 82
- Regulatory AUM
- $131M
- AUM share
- 90.8%
- Avg. per client
- $1.59M
- Clients
- Fewer than 5
- Regulatory AUM
- $5.65M
- AUM share
- 3.9%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $1.03M
- AUM share
- 0.7%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $2.64K
- AUM share
- 0.0%
- Avg. per client
- —
Total
- Clients
- 118
- Regulatory AUM
- $144M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 11–25
Haven Capital Group charges 1.50% a year for its Equity/Balanced/Fixed Income Portfolios. The fee is billed in advance or in arrears, is negotiable and has a $5,000 annual minimum.
Fee details and sources
Kristin Horton owns 75% or more of Haven Capital Group. The leadership team of Haven Capital Group includes President Kristin Horton. It has 1 employee.
Leadership
- Kristin HortonPresident and Chief Compliance Officer
Investment adviser representatives
1 representatives listed in the SEC register as of 9 October 2026.
Staff
- 1 employee
- 1 in advisory functions
- 1 state-registered rep
- Owns 75% or more of Haven Capital Group, Inc.
Kristin Horton
Control person · since June 2009
Haven Capital Group’s regulatory assets grew from $119M (May 2024) to $144M (March 2026); clients fell from 129 to 118 and employees were 1 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $144M | 118 | 1 | 1 |
| March 2025 | $142M | 128 | 1 | 1 |
| May 2024 | $119M | 129 | 1 | 1 |
Besides its headquarters, Haven Capital Group has 0 offices, with 1 listed address in California.
California · 1 listed address
- 2625 Townsgate RD, Ste 330, Westlake VillageHQ
Contact and registration details
- Legal name
- Haven Capital Group, Inc.
- Headquarters
- 2625 Townsgate RD, Ste 330, Westlake Village, CA 91361-5751
- Website
- havencapitalgroup.com
- Phone
- 805-963-9050
- @haven-capital-group-inc.
- SEC file
- 801-130171
- Structure
- California corporation
- Fiscal year end
- December
Haven Capital Group uses Charles Schwab ($144M) as custodian for its separately managed accounts. Haven Capital Group does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $144M100%
At year end, Haven Capital Group’s separately managed accounts were mostly in stocks (83%) and bonds (13%).
What the accounts hold
- Stocks83%
- Funds4%
- Bonds13%
How many clients does Haven Capital Group have?
Haven Capital Group has 118 clients and manages $144 million for them, as of March 2026. They include 82 high-net-worth individuals and 36 individual clients.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026
What services does Haven Capital Group offer?
Haven Capital Group provides financial planning, portfolio management for individuals and small businesses, and portfolio management for institutions.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Haven Capital Group charge?
Haven Capital Group charges 1.50% a year for its Equity/Balanced/Fixed Income Portfolios. The fee is billed in advance or in arrears, is negotiable and has a $5,000 annual minimum.
Source: MARCH 31, 2026 HAVEN CAPITAL GROUP INC BROCHURE, filed 31 March 2026
Which custodians does Haven Capital Group use?
Haven Capital Group’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $144M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 March 2026
How many financial advisors does Haven Capital Group have?
Haven Capital Group has 1 investment adviser representative registered with state securities authorities, out of 1 employees, and 1 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 Haven Capital Group invest in?
At the end of its last fiscal year, Haven Capital Group’s separately managed accounts held 83% exchange-traded equities, 13% state and local bonds and 4% registered funds (mutual funds, ETFs, BDCs).
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Haven Capital Group?
Haven Capital Group’s direct owner is Kristin Horton (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 31 March 2026
How does Haven Capital Group get paid?
Haven Capital Group is paid through a percentage of assets under management and hourly charges. 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
How do I contact Haven Capital Group?
Haven Capital Group’s main office is at 2625 Townsgate RD, Ste 330, Westlake Village, CA 91361-5751. Its phone number is 805-963-9050. Its website is havencapitalgroup.com.