Haberer Registered Investment Advisor Inc (Cincinnati)


Haberer Registered Investment Advisor Inc is a large advisory firm based in Cincinnati. It manages $314.03 million of regulatory assets for 311 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Florida, Indiana, Kentucky, and 3 other states.

Haberer Registered Investment Advisor provides financial planning services, portfolio management for individuals and small businesses, and pension consulting services. It prepares financial plans for more than 25 clients. On top of advisory services, the firm doesn't engage in other business activities.

Haberer Registered Investment Advisor: assets under management

The assets under management (AUM) of Haberer Registered Investment Advisor Inc is $314.03 million. The firm's AUM has gone down by -40% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $301.18 million in discretionary accounts and $12.85 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.01 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $988.21 thousand.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Haberer Registered Investment Advisor Inc for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Haberer Registered Investment Advisor Inc

Edward Michael Haberer has been acting as President since 1 Apr 1977. Scott Harrison Dooley has served as the Chief Investment Officer since 1 Sep 2000. Audrey J Cawman joined the executive team most recently as the Sr. Private Client Advisor.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Edward Michael Haberer Ceo/president 1 Apr 1977 75% - 100% 232823
Irene Mcdonough Dake Coo, senior vice president 1 Jan 1982 Other 4369433
Norris James Downing Senior vice president, senior portfolio manager 1 Jan 1986 Other 2274403
Irene Mcdonough Dake Senior vice president of operations 1 Dec 1994 Other 4369433
Elizabeth Marchal Green Vice president portfolio manager 1 Aug 1995 Other 1681036
Scott Harrison Dooley Cfa, vice president,portfolio manager 1 Aug 1995 Other 4369421
Paul William Attwood Cfa, asst. vice president, portfolio manager 1 Apr 1996 Other 2449982
Mark Henry Josefczyk Director of marketing 1 Mar 1997 Other 1644507
Norris Downing Senior portfolio manager 1 Jun 1998 Other 2274403
Jeffrey Ian Kerstine Cfa, asst. vice president, senior research analyst 1 Sep 1999 Other 4369680
Bruce Mason Research analyst 1 May 2000 Other 4525261
Scott Harrison Dooley Chief investment officer 1 Sep 2000 Other 4369421
Paul William Attwood Senior research analyst 1 Sep 2000 Other 2449982
Peggy Dodt Wagoner Compliance officer 1 Sep 2000 Other 4369674
Jeffrey Ian Kerstine Senior research analyst 1 Sep 2000 Other 4369680
Ellis Davenport Hummel Vice president portfolio manager 1 Oct 2000 Other 2337020
Inc. Huntington Bancshares Shareholder 1 Mar 2002 75% - 100% 31-072492
Marc Erle Henn Vice president portfolio manager 1 May 2002 Other 2120816
Donald Lee Keller Senior vice president, chief investment officer 1 Mar 2003 Other 4648523
Randall Allen Hare Senior research analyst 1 Jun 2003 Other 2773021
Huntington National Bank Shareholder 1 Mar 2006 75% - 100% 31-0966785
Gregory A. Smith Sr. vice president, dir. of private client services 1 May 2006 Other 5149701
Kristy Sue Obrien Vice president 1 Apr 2007 Other 2340429
Kristy Sue O'brien Vice president wealth manager 1 Apr 2007 Other 2340429
Bruce Mason Vice president wealth manager 1 Apr 2008 Other 4525261
Adonis Anthony Caneris Vice president, senior wealth management advisor 1 Jul 2008 Other 3078969
Nathan Andrew Bishop Senior portfolio manager 1 Sep 2008 Other 5594136
Gregory A. Smith President and managing director 1 Jul 2013 Other 5149701
Adonis Anthony Caneris Vp, sr. wealth advisor and chief compliance officer 1 Jul 2013 Other 3078969
Scott Harrison Dooley Cfa, sr. vice president, sr. portfolio manager 1 Aug 2013 Other 4369421
Nathan Andrew Bishop Vp, sr. portfolio manager and chief investment officer 1 Aug 2013 Other 5594136
Christian Roberts Wing Vice president, sr. private client advisor 1 Sep 2013 Other 4066906
Christian Roberts Wing Vice president, sr. portfolio manager, chief investment officer 1 Oct 2013 Other 4066906
Steven Marc Short Executive vice president of huntington bank, haberer board member 1 Oct 2013 Other 4205492
Joseph L Rezabek Haberer board member 1 Feb 2014 Other 2347549
Audrey J Cawman Sr. private client advisor 1 Mar 2014 Other 4697718

Indirect Owners

The SEC currently registers 1 indirect owner.

Name Entity Date acquired Ownership Employer ID
Inc. Huntington Bancshares Shareholder 1 Mar 2006 75% - 100% 31-0724920

Based in Cincinnati

The principal office where Haberer Registered Investment Advisor Inc performs its advisory services is located at 201 E Fifth St, Cincinnati, OH 45202, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 513-381-8200 or by fax 513-345-6347. The normal business hours are 8:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at www.haberer.com.

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