HALLETT ADVISORS
HALLETT INVESTMENTS, LLC Legal Name
Adviser information for HALLETT ADVISORS last updated from Form ADV on March 8th, 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 | Washington, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 6 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 716 | $130.4M |
| Non-Discretionary | 0 | $0 |
| Total | 716 | $130.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 225 | $62.3M |
| HNW Individuals | 40 | $62.6M |
| 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 | <5 | $613,867 |
| Charitable organizations | 9 | $4.9M |
| 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 | 4 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesTHIRD PARTY ADVISORY FEES |
Identifiers
| SEC RIA File Number | 801-117651 |
|---|---|
| SEC ERA File Number | 801-117651 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 306187 |
| Legal Entity Identifier | None |
Principal Office
1506 EAST FIRST STREETPORT ANGELES
WA
United States
Monday - Friday, 8:00 A.M. - 5:00 P.M. PT
Tel: 360-457-6000, Fax: 360-457-6030
Chief Compliance Officer
JAMES C. HOLST
1220 MAIN STREET
SUITE 400
VANCOUVER
WA
United States
Tel:
503-248-9800
Fax:
503-248-7088
J*******@**********M
(Full email address available in API data)
Regulatory Contact
CHRISTINE CRUZ
ACCOUNT EXECUTIVE
1220 MAIN STREET
SUITE 400
VANCOUVER
WA
United States
Tel:
503-248-9800
Fax:
503-248-7088
C************@**********M
(Full email address available in API data)
Industry Affiliates
| SLOY, DAHL & HOLST, LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HALLETT, JAMES, DENNIS | Individual | – | FOUNDING PRINCIPAL | 10/2019 | < 5% |
| HOLST, JAMES, CRAIG | Individual | – | CHIEF OPERATING OFFICER/ CHIEF COMPLIANCE OFFICER | 10/2019 | < 5% |
| HOLST HOLDINGS, INC | Domestic Entity | – | MANAGING MEMBER/ OWNER | 10/2019 | > 75% |
| HOLST, JAMES, CRAIG | Individual | HOLST HOLDINGS, INC | SHAREHOLDER/ PRESIDENT | 12/2018 | > 75% |