HESEN & HASLAM
HESEN & HASLAM, LLC Legal Name
Adviser information for HESEN & HASLAM last updated from Form ADV on March 12th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 606 | $173.7M |
| Non-Discretionary | 6 | $20.2M |
| Total | 612 | $193.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 200 | $45.4M |
| HNW Individuals | 85 | $128.3M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 6 | $20.2M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Broker-dealer |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 173.7M |
| Portfolio Manager | 171.9M |
| Both for Same | 173.7M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| HESEN & HASLAM WRAP PROGRAM | HESEN & HASLAM |
Identifiers
| SEC RIA File Number | 801-110192 |
|---|---|
| SEC ERA File Number | 801-110192 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 286235 |
| Legal Entity Identifier | None |
Principal Office
21031 VENTURA BLVDSTE #424
WOODLAND HILLS
CA
United States
Monday - Friday, 9-5PM
Tel: 818-200-1107, Fax: 866-602-5006
Chief Compliance Officer
MITCHELL HESEN
MANAGING MEMBER
21031 VENTURA BLVD, STE #424
WOODLAND HILLS
CA
United States
Tel:
818-275-8130
M****@***************M
(Full email address available in API data)
Regulatory Contact
DAVID KEENEY
REGISTERED ADMINISTRATIVE ASSOCIATE
21031 VENTUURA BLVD
SUITE 424
WOODLAND HILLS
CA
United States
Tel:
818-200-1107
D****@***************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HASLAM, RYAN, O | Individual | – | MANAGING MEMBER | 03/2014 | 50-75% |
| HESEN, MITCHELL, HUTTO | Individual | – | MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER | 03/2014 | 50-75% |