HALO INVESTMENT SERVICES, LLC
Adviser information for HALO INVESTMENT SERVICES, LLC last updated from Form ADV on March 29th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 15 |
|---|---|
| Investment Advisory/Research | 15 |
| Registered Broker-Dealer Representatives | 15 |
| Registered State Investment Advisers | 15 |
| 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 | 2 | $31.2M |
| Non-Discretionary | 0 | $0 |
| Total | 2 | $31.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| 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 | 0 | $0 |
| 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 | <5 | $31.2M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Selection of other advisers (including private fund managers)SMA PLATFORM SERVICES |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Registered representative of a broker-dealer |
Identifiers
| SEC RIA File Number | 801-127670 |
|---|---|
| SEC ERA File Number | 801-127670 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 325613 |
| Legal Entity Identifier | None |
Principal Office
1129 NORTHERN BLVD.MANHASSET
NY
United States
Monday - Friday, 8AM - 5PM
Tel: 312-586-2790, Fax: None
Chief Compliance Officer
GERY SADZEWICZ
5205 BROOKSHIRE ESTATES DRIVE
PLAINFIELD
IL
United States
Tel:
815-782-1250
G***@*************************M
(Full email address available in API data)
Industry Affiliates
| HALO SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SADZEWICZ, GERY, JOSEPH | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2023 | < 5% |
| CONDON, EDWARD, REGIS | Individual | – | CEO | 02/2023 | < 5% |
| HALO INVESTING, INC. | Domestic Entity | – | MEMBER | 07/2023 | > 75% |
| BARSEMA, JASON, M | Individual | HALO INVESTING, INC. | OWNER | 03/2018 | 50-75% |
| KULATHAKAL HOLDINGS | Domestic Entity | HALO INVESTING, INC. | OWNER | 03/2018 | 50-75% |
| KULATHAKA, SUNNY | Individual | KULATHAKAL HOLDINGS | OWNER | 03/2018 | 50-75% |
| KULATHAKAL, ELIZABETH, SUNNY | Individual | KULATHAKAL HOLDINGS | OWNER | 03/2018 | 50-75% |