Meet Our Client Services Team
Our Client Services Team are the front line staff to our offices, they handle all incoming correspondence and distribute where needed within the firm. Greeting our clients with welcoming attributes the Client Services Team provide a high standard of service to ensure our clients and advisors are seen to with the utmost care.
We provide administrative knowledge and support primarily to Drew Horter, Founder & Chief Financial Strategist as well as the Sales Team. Additionally we ensure that the building runs efficiently with daily maintenance responsibilities and providing help where need to all colleagues who require it.
Our responsibilities to our advisors will provide support in the following areas:
• Coordinating Advisor Trainings locally and nationally
• Management of Distribution Center with shipments of marketing materials
• Operating primary phone communications within the building
• Welcoming our clients and advisors who visit our head office
Our Team continuously strive to provide the best experience we can offer to our clients and advisors. We are dedicated to using the resources provided around us to learn additional areas within the firm to provide a better quality and informative knowledge to clients and advisors.
Client Service Team
Meet Our Compliance Team
Our Compliance Team work hard to develop and maintain a culture of compliance at Horter. We strive to educate our advisors on procedural accuracy as well as keep them informed and up to date on any regulatory change issued by authorizing person(s).
We are responsible for registering all new advisors and preparing required disclosure statements. We continue to work with our advisors throughout the relationship focusing on the following areas:
• Advertising & Marketing Reviews
• Office Examinations
• Updating your registration and disclosure documents as needed
• Account Review
• Continued development of Compliance Policies and Procedures
Our Team members work under the Investment Advisers Act of 1940 and are continuously educated to keep well informed on the focus to service our advisors better in the practice of Compliance.
Meet Jason Long | Chief Compliance Officer
Jason is a 17 year veteran of the financial services industry, including banking and wealth management. He has a strong background in compliance and risk management and will play a key role in building and maintaining our compliance program as we continue to grow. Jason was most recently head of accounting, operations, human resources and compliance for another registered investment advisory firm in Cincinnati. Prior to that, he was chief financial officer for a community bank and a bank operations and technology center. His career in banking had a strong focus on risk management, compliance and working with regulatory authorities. Jason majored in Finance and Accounting at Miami University and attended Xavier University for his MBA.
Meet Our Operations Team
Our Operations Team will be here to administer account processing and funding for client accounts. We will correspond with you and custodians on any issues raised and resolve as efficiently as possible. We provide guidance on the completion of required documentation for both Horter and Custodial needs.
Upon registration you will be assigned a dedicated Investment Advisor Representative Support Specialist that will work with you to provide the following:
• Ensuring that the accuracy and suitability of accounts opened are in accordance with our compliance regulations
• Processing fund transfers from and to custodians
• Providing correspondence and confirmation to clients in concerns to their accounts and providing online access upon request
The Operations Team will work closely with you to ensure the process runs as smoothly as possible. We will continue to provide education and help where needed to advisors and assistants who require it.
Meet Kevin Hetzer | Assistant Director of Operations & Technology
Kevin is a key supervisor with our management team and has been with Horter Investment Management, LLC since March 2008. His knowledge encompasses all facets of IAR Support. His responsibilities include daily trading, transfers, distributions, transactional data, model allocations and manual billings.
Meet Our Marketing Team
Meet Sarah Botwright | Marketing Specialist
Sarah assists the Director of Operations and Director of Compliance & Business Development in completing projects within the company to make all departments run more efficiently. Her experience includes database management, writing operating procedure documents, creating professional documentation, advisor promotional tracking and performs analytical evaluations based on data being presented. She is knowledgeable on project management and has the ability to handle a multiplicity of tasks simultaneously. Her main concentration for database management is our Portfolio Management Software and client Web Portal. Sarah is versed in all aspects of client services. Sarah worked in England as an Administrative Officer with a qualification in National Verification in Business Administration.