# Howard Bailey Securities

Howard Bailey Securities is a Bank / Wealth / Trust based in Fort Wayne, United States.

## Overview

- **Organization type:** Bank / Wealth / Trust
- **Headquarters:** Fort Wayne, United States
- **Region:** North America
- **Address:** Fort Wayne, IN, United States
- **Founded:** 2002
- **Assets under management:** Undisclosed
- **Website:** howardbailey.com
- **LinkedIn:** https://www.linkedin.com/company/howardbaileyfinancial

## Regulatory record

- **CRD number:** 282712
- **SEC file number:** 801-114636
- **Registration status:** APPROVED
- **Latest Form ADV filing:** 2026-03-31T05:00:00.000Z
- **Reports private funds:** No
- **Private funds reported:** 0
- **IAPD record:** https://adviserinfo.sec.gov/firm/summary/282712

## About

Founded in 2002 and based in Fort Wayne, Indiana, Howard Bailey Securities is an independent registered investment adviser. The firm manages assets for individuals, high-net-worth families, corporations, and non-profit organizations, primarily concentrated in the Midwest. Its independence is a core structural feature, allowing portfolio construction and financial planning without the proprietary product pressures common at larger bank-affiliated wealth managers. The firm provides discretionary portfolio management and comprehensive financial planning. Its investment approach typically spans equities, fixed income, and alternatives through a mix of individual securities, mutual funds, and ETFs. The firm's client base historically draws from manufacturing and healthcare professionals in Indiana's second-largest city. Client portfolios are managed on a separately managed account basis rather than pooled vehicles, giving the firm direct discretion over asset allocation. Team and asset scale are not publicly disclosed. As a privately held boutique, Howard Bailey Securities does not report compensation data, and the ownership structure remains with its founding principals. The firm has maintained a single-location footprint in Fort Wayne, reinforcing its geographic concentration. In recent years, the RIA has participated in industry benchmarking studies to standardize its reporting and operational practices against national peer firms. What distinguishes Howard Bailey Securities is its regional insularity. It competes with national wirehouses and bank trusts by offering fiduciary-level advice without the institutional conflict of selling in-house products. For a Fort Wayne-based business owner or medical practice, the firm acts as an outsourced investment office, embedding itself through on-the-ground relationships rather than a national marketing presence.

## Questions

### Is Howard Bailey Securities a fiduciary?

Howard Bailey Securities is a registered investment adviser (RIA), and as such, its advisers have a fiduciary duty to act in the best interests of their clients under the Investment Advisers Act of 1940. This means the firm is legally obligated to place client interests ahead of its own when making investment recommendations. The firm cannot recommend a security or strategy primarily because it generates higher compensation for the adviser.

### What is Howard Bailey Securities' independence structure?

The firm operates as an independent RIA, meaning it is not owned by a bank, insurance company, or wirehouse. This structure eliminates the product-distribution conflicts that can arise when a parent company pressures advisers to sell proprietary mutual funds, annuities, or structured products. The firm's revenue derives directly from advisory fees billed to clients, aligning its incentives with portfolio performance and client retention.

### What client types does the firm serve?

The firm's client base historically includes individuals, high-net-worth families, corporations, and non-profit organizations, with a geographic concentration in Fort Wayne and the broader Midwest. Common client profiles include manufacturing business owners, medical practice partners, and corporate executives in Indiana's second-largest city. The firm operates without a national retail footprint, focusing on deep, relationship-driven service for a concentrated regional clientele.

## Related profiles

- [Howa Bank](https://altss.com/profile/howa-bank)
- [Howard Capital Management](https://altss.com/profile/howard-capital-management)

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Last updated: 2026-06-03T20:00:00.000Z

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