Huntleigh Advisors, Inc.

Huntleigh Advisors, Inc. is an SEC‑registered investment advisor that provides discretionary and non‑discretionary asset management, ERISA retirement‑plan services (including 3(21) and 3(38) roles), sub‑advisory arrangements, and third‑party manager solicitation to a mix of individual, high‑net‑worth, charitable, trust and business clients. The firm also assists plan sponsors with investment policy development, participant education, and ongoing monitoring for qualified and non‑qualified plans.

The firm offers both model portfolio programs and customized individual management and operates a distinctive MindShare Small Companies program that targets micro‑, small‑ and mid‑cap equities using a combination of investor‑sentiment/charting analysis alongside fundamental research; MindShare includes SmallCap Growth, MicroCap Select Growth and a higher‑risk Focused Strategy that typically holds 8–12 companies with higher turnover. Huntleigh also recommends and monitors third‑party managers when appropriate and employs fundamental, technical, charting and quantitative methods across its strategies.

Huntleigh discloses material affiliations with an in‑house broker‑dealer (Huntleigh Securities Corporation) and an insurance broker, including shared ownership, office resources and revenue‑sharing arrangements, and warns that certain MindShare trades are broker‑assisted with higher transaction fees and that cash sweep and 12b‑1 revenue present conflicts of interest. The firm was the subject of a January 2023 SEC administrative order requiring remediation and payment of disgorgement, interest and a civil penalty totaling $893,502 for disclosure deficiencies related to those conflicts; its brochure describes procedures it uses to monitor, disclose and mitigate those conflicts, including periodic reviews and rebates or conversion of fee‑paying mutual fund share classes when identified.