SourcingSourcing

HALTER FERGUSON FINANCIAL INC

C26
CRD 109563·SEC 801-57288·CARMEL, IN
AUM
$705.0M
$500M-$1B
Est. Revenue
$7.0M
@ 1% on AUM
Est. EBITDA
$2.1M
@ 30% margin
Est. Deal Value
$16.9M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
HALTER FERGUSON FINANCIAL INC
CRD
109563
SEC file #
801-57288
EIN
351691226
DBA names
—

Economics

AUM
$705.0M
AUM band
$500M-$1B
AUM trajectory
'20'26
$142.1M → $705.0M▲ +396%
Client mix
Individuals High Net Worth194
Individuals Other97
Pooled Investment Vehicles1

Operations

Employees (total)
15
Advisory staff (per ADV)
7
Advisory staff (5-yr trend)
'20'26
5 advisors → 7 advisors▲ +40%
Primary office
CARMEL IN
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — pooled vehiclesSelection of other advisers
Fee basis
% of AUMHourly chargesFixed feesPerformance-based fees

Filings

Latest ADV filing
04/13/2026
ADV-W filed at
—
Website
twitter.com/bradsferguson(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
FERGUSON, BRADFORD, SCOTT
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
FERGUSON, BRADFORD, SCOTT
SMITH, MATTHEW, CHARLES
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
social_url_excluded:twitter.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No
Form 5500 Plan Count
1
Form 5500 Total Compensation
16,554
Form 5500 Compensation Trajectory 3y
202516,554
Form 5500 Plan Count Trajectory 3y
20251
Schedule C Total Compensation
16,554
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Cik
0001842665
Edgar Registered
Yes
Edgar Filing Count
12
Edgar First Filing Date
2024-02-09
Edgar Last Filing Date
2026-04-28
Edgar 13f Count
10
Edgar 13f Latest AUM Estimate
Filing Date2026-04-28
Accession0001842665-26-000002

Compliance & brand

Firm Registration Status
active

All other collected signals (12)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
7
Bc Firm IAR Count
7
Custodian Candidates
Full
Charles Schwab6
Fidelity4
E*trade4
Edgar Addresses
Mailing
13080 GRAND BLVD.SUITE 130CARMEL, IN 46032
Business
13080 GRAND BLVD.SUITE 130CARMEL, IN 46032
Edgar EIN
351691226
Edgar Recent Filings
13F-HR2026-04-28 · 0001842665-26-000002
13F-HR2026-02-05 · 0001842665-26-000001
Firm Has Custody
Yes
Mailing Office Differs
No
Top Owner CRD
5062898
Trust Company Affiliate
No

People (7)

7
FERGUSON, BRADFORD, SCOTT
IAR · Direct Owner · 87.5%
5062898
SMITH, MATTHEW, CHARLES
IAR · Executive Officer · 2.5%
5922356
TIFFANY CHRISTINA WHITE
IAR
6435426
BENJAMIN MICHEL WEBER
IAR
6305137
Henry M Dierkes
IAR
8247111
Isaac Christopher Yops
IAR
7833320
Lisa Marie Hileman Angelo
IAR
8269932