HALPERN FINANCIAL, INC.
Adviser information for HALPERN FINANCIAL, INC. 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Maryland, United States |
Employees
| Total Number of Employees | 13 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 7 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,332 | $1.1B |
| Non-Discretionary | 0 | $0 |
| Total | 1,332 | $1.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 140 | $61.8M |
| HNW Individuals | 188 | $921.0M |
| 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 | $115.7M |
| 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 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesCONSULTING SERVICES |
|---|---|
| Compensation | % of AUMHourly charges |
Principal Office
20365 EXCHANGE STREETSUITE 200
ASHBURN
VA
United States
Monday - Friday, 8:30 AM - 4:30 PM
Tel: 240.268.1000, Fax: 240.449.8818
Chief Compliance Officer
MELISSA SOTUDEH
MANAGING DIRECTOR
20365 EXCHANGE STREET
SUITE 200
ASHBURN
VA
United States
Tel:
240.268.1000
Fax:
240.449.8818
M*******@*******************M
(Full email address available in API data)
Regulatory Contact
TED HALPERN
PRESIDENT & DIRECTOR
20365 EXCHANGE STREET
SUITE 200
ASHBURN
VA
United States
Tel:
240.268.1000
Fax:
240.449.8818
T*******@*******************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 |
|---|---|---|---|---|---|
| HALPERN, TED, STEPHEN | Individual | – | PRESIDENT & DIRECTOR | 07/1998 | > 75% |
| SOTUDEH, MELISSA, GUEVARA | Individual | – | CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR | 01/2015 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 8th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| 2SEVENTY BIO INC COMMON STOCK | Stock | 385 | 100 | – |
| 3M CO COM | Stock | 18K | 176 | – |
| ABBVIE INC COM | Stock | 26K | 150 | – |
| ACLARIS THERAPEUTICS INC COM | Stock | 2K | 2K | – |
| ADOBE INC COM | Stock | 88K | 158 | – |
| AFLAC INC COM | Stock | 5K | 61 | – |
| AIRBNB INC COM CL A | Stock | 2K | 10 | – |
| ALASKA AIR GROUP INC COM | Stock | 81K | 2K | – |
| ALPHABET INC CAP STK CL C | Stock | 119K | 647 | – |
| ALTRIA GROUP INC COM | Stock | 54K | 1K | – |
| AMARIN CORP PLC SPONS ADR NEW | ADR | 889 | 1K | – |
| AMAZON.COM INC | Stock | 3M | 16K | – |
| AMPLIFY TRANSFORMATIONAL DATA SHARING ETF | ETF | 126K | 4K | – |
| APA CORPORATION COM | Stock | 6K | 200 | – |
| APPLE INC | Stock | 796K | 4K | – |
| APPLIED MATLS INC COM | Stock | 2K | 9 | – |
| ARBOR RLTY TR INC | REIT | 50K | 4K | – |
| ASML HOLDING N V N Y REGISTRY SHS | ADR | 7K | 7 | – |
| ASTRAZENECA PLC- SPONS ADR | ADR | 142K | 2K | – |
| AT&T INC COM | Stock | 52K | 3K | – |
| AUTOMATIC DATA PROCESSING INC COM | Stock | 15K | 61 | – |
| BANK AMERICA CORP COM | Stock | 0 | 0 | – |
| BERKSHIRE HATHAWAY INC DEL CL B NEW | Stock | 1M | 3K | – |
| BHP GROUP LTD SPONSORED ADS | ADR | 12K | 203 | – |
| BLACK STONE MINERALS L P COM UNIT | Stock | 180K | 12K | – |
| BLUEBIRD BIO INC COM | Stock | 295 | 300 | – |
| BOEING CO COM | Stock | 9K | 48 | – |
| CAMBRIA SHAREHOLDER YIELD ETF | ETF | 11K | 163 | – |
| CANADIAN PACIFIC KANSAS CITY COM | Stock | 15K | 185 | – |
| CANOPY GROWTH CORP COM NEW | Stock | 194 | 30 | – |
| CAVA GROUP INC COM | Stock | 9K | 100 | – |
| CHARGEPOINT HOLDINGS INC COM CL A | Stock | 529 | 350 | – |
| CHEVRON CORP NEW COM | Stock | 9K | 60 | – |
| CHUBB LIMITED COM | Stock | 0 | 0 | – |
| CISCO SYS INC | Stock | 78K | 2K | – |
| CLOROX CO DEL COM | Stock | 20K | 150 | – |
| COCA COLA CO COM | Stock | 89K | 1K | – |
| COINBASE GLOBAL INC COM CL A | Stock | 22K | 100 | – |
| COMCAST CORP NEW CL A | Stock | 13K | 332 | – |
| COSTCO WHOLESALE CORP | Stock | 341K | 401 | – |
| COUSINS PPTYS INC COM NEW | REIT | 18K | 760 | – |
| CROWDSTRIKE HLDGS INC CL A | Stock | 2M | 4K | – |
| CVS HEALTH CORP COM | Stock | 5K | 83 | – |
| DISCOVERY HLDG CO | Stock | 4K | 498 | – |
| DISNEY WALT CO COM | Stock | 1K | 13 | – |
| DUKE ENERGY CORP NEW COM NEW | Stock | 12K | 123 | – |
| ELI LILLY & CO COM | Stock | 317K | 350 | – |
| EQT CORP COM | Stock | 18K | 500 | – |
| EQUINIX INC COM | REIT | 407K | 538 | – |
| EXXON MOBIL CORP COM | Stock | 5M | 41K | – |
| FIDELITY MSCI ENERGY INDEX ETF | ETF | 13K | 500 | – |
| FIDELITY MSCI HEALTH CARE INDEX ETF | ETF | 3M | 49K | – |
| FIDELITY MSCI INFORMATION TECHNOLOGY INDEX ETF | ETF | 11M | 66K | – |
| FIDELITY NASDAQ COMPOSITE INDEX ETF | ETF | 16K | 233 | – |
| FIDELITY QUALITY FACTOR ETF | ETF | 49K | 800 | – |
| FIDELITY VALUE FACTOR ETF | ETF | 10M | 175K | – |
| FIRST TRUST DOW JONES INTERNET INDEX FUND | ETF | 159K | 774 | – |
| FIRST TRUST LARGE CAP VALUE ALPHADEX FUND | ETF | 77K | 1K | – |
| FIRST TRUST US EQUITY OPPORTUNITIES ETF | ETF | 7K | 70 | – |
| FIRST TRUST WATER ETF | ETF | 81K | 810 | – |
| FORTINET INC COM | Stock | 78K | 1K | – |
| G III APPAREL GROUP LTD COM | Stock | 9K | 350 | – |
| GE AEROSPACE COM NEW | Stock | 19K | 119 | – |
| GE HEALTHCARE TECHNOLOGIES INC COMMON STOCK | Stock | 468 | 6 | – |
| GE VERNOVA INC COM | Stock | 5K | 29 | – |
| GENERAL DYNAMICS CORP COM | Stock | 4K | 14 | – |
| GODADDY INC CL A | Stock | 4K | 32 | – |
| GOOGLE INC | Stock | 523K | 3K | – |
| GRAYSCALE BITCOIN TRUST | ETF | 2K | 34 | – |
| HACKETT GROUP INC | Stock | 26K | 1K | – |
| HAWAIIAN HOLDINGS INC COM | Stock | 332K | 27K | – |
| HCA INC | Stock | 16K | 50 | – |
| HOME DEPOT | Stock | 17K | 50 | – |
| HYATT HOTELS CORP COM CL A | Stock | 3K | 20 | – |
| IDEAYA BIOSCIENCES INC COM | Stock | 79K | 2K | – |
| INMODE LTD SHS | Stock | 4K | 200 | – |
| INTEL CORP COM | Stock | 232K | 7K | – |
| INTL BUSINESS MACHINES | Stock | 8K | 47 | – |
| INVENTRUST PPTYS CORP COM NEW | REIT | 15K | 616 | – |
| INVESCO NASDAQ 100 ETF | ETF | 27K | 136 | – |
| INVESCO S&P 100 EQUAL WEIGHT ETF | ETF | 120K | 1K | – |
| IQIYI INC SPONSORED ADS | ADR | 918 | 250 | – |
| IRON MTN INC DEL COM | REIT | 77K | 861 | – |
| ISHARES CORE MSCI EAFE ETF | ETF | 11M | 157K | – |
| ISHARES CORE MSCI EMERGING MKTS | ETF | 4M | 75K | – |
| ISHARES CORE S&P MID CAP ETF | ETF | 8M | 132K | – |
| ISHARES CORE S&P TOTAL U.S. STOCK MARKET ETF | ETF | 45K | 376 | – |
| ISHARES MSCI EAFE ETF | ETF | 91K | 1K | – |
| ISHARES MSCI EAFE MIN VOL FACTOR ETF | ETF | 42K | 600 | – |
| ISHARES MSCI EAFE SMALL CAP ETF | ETF | 24K | 387 | – |
| ISHARES MSCI EMERGING MARKETS ETF | ETF | 5K | 106 | – |
| ISHARES MSCI INTL QUALITY FACTOR ETF | ETF | 22K | 552 | – |
| ISHARES MSCI USA MIN VOL FACTOR ETF | ETF | 31M | 374K | – |
| ISHARES RUSSELL 1000 GROWTH ETF | ETF | 10M | 28K | – |
| ISHARES RUSSELL 1000 VALUE ETF | ETF | 2M | 10K | – |
| ISHARES RUSSELL 2000 ETF | ETF | 1M | 7K | – |
| ISHARES RUSSELL 2000 VALUE ETF | ETF | 428K | 3K | – |
| ISHARES RUSSELL MID-CAP GROWTH ETF | ETF | 551K | 5K | – |
| ISHARES RUSSELL MIDCAP VALUE INDEX | ETF | 440K | 4K | – |
| ISHARES S&P 500 GROWTH ETF | ETF | 23M | 248K | – |
| ISHARES S&P 500 INDEX | ETF | 33M | 61K | – |
| ISHARES S&P 500 VALUE ETF | ETF | 47M | 261K | – |
| ISHARES S&P SMALLCAP 600 ETF | ETF | 11M | 104K | – |
| ISHARES S&P SMALL-CAP 600 GROWTH ETF | ETF | 1M | 9K | – |
| ISHARES S&P SMALL-CAP 600 VALUE ETF | ETF | 138K | 1K | – |
| ISHARES TR RUSSELL 1000 INDEX ETF | ETF | 171K | 574 | – |
| ISHARES TR RUSSELL MIDCAP INDEX FD | ETF | 1M | 18K | – |
| ISHARES U.S. TECHNOLOGY ETF | ETF | 18K | 120 | – |
| JFROG LTD ORD SHS | Stock | 0 | 0 | – |
| JOHN MARSHALL BANCORP INC COM | Stock | 867K | 50K | – |
| JOHNSON & JOHNSON COM | Stock | 228K | 2K | – |
| JPMORGAN CHASE & CO. COM | Stock | 243K | 1K | – |
| JPMORGAN EQUITY PREMIUM INCOME ETF | ETF | 12M | 220K | – |
| JPMORGAN INFLATION MANAGED BOND ETF | ETF | 10M | 219K | – |
| KBR INC COM | Stock | 2K | 26 | – |
| KLA-TENCOR CORP | Stock | 3K | 4 | – |
| KYNDRYL HLDGS INC COMMON STOCK | Stock | 184 | 7 | – |
| L3HARRIS TECHNOLOGIES INC COM | Stock | 8K | 35 | – |
| LIBERTY BROADBAND CORP COM SER C | Stock | 3K | 59 | – |
| LINDE PLC SHS | Stock | 29K | 67 | – |
| LOCKHEED MARTIN CORP | Stock | 120K | 257 | – |
| LOWES COS INC COM | Stock | 88K | 400 | – |
| MAGNITE INC COM | Stock | 7K | 512 | – |
| MARRIOTT INTL INC | Stock | 3K | 12 | – |
| MARSH & MCLENNAN COS INC COM | Stock | 3K | 16 | – |
| MCDONALDS CORP COM | Stock | 15K | 60 | – |
| MCKESSON CORP COM | Stock | 6K | 10 | – |
| MEDTRONIC PLC SHS | Stock | 7K | 95 | – |
| MERCK & CO INC | Stock | 25K | 200 | – |
| MICROCHIP TECHNOLOGY INC. COM | Stock | 14K | 158 | – |
| MICROSOFT | Stock | 342K | 765 | – |
| MONOLITHIC PWR SYS INC COM | Stock | 3K | 4 | – |
| MOTOROLA SOLUTIONS INC COM NEW | Stock | 9K | 23 | – |
| MULLEN AUTOMOTIVE INC COM | Stock | 2 | 1 | – |
| NASDAQ STK MKT INC | Stock | 1M | 20K | – |
| NETFLIX INC COM | Stock | 6K | 9 | – |
| NEXTERA ENERGY INC COM | Stock | 71K | 1K | – |
| NIKE INC CLASS B | Stock | 79 | 1 | – |
| NORDSON CORP COM | Stock | 2K | 7 | – |
| NOVO-NORDISK A S ADR | ADR | 30K | 213 | – |
| NVIDIA CORPORATION COM | Stock | 48K | 390 | – |
| OCCIDENTAL PETE CORP COM | Stock | 14K | 222 | – |
| ORACLE CORPORATION | Stock | 71K | 500 | – |
| PACCAR INC COM | Stock | 0 | 0 | – |
| PALANTIR TECHNOLOGIES INC CL A | Stock | 36K | 1K | – |
| PELOTON INTERACTIVE INC CL A COM | Stock | 676 | 200 | – |
| PEPSICO INC COM | Stock | 21K | 127 | – |
| PETROLEO BRASILEIRO SA PETROBRAS | ADR | 0 | 0 | – |
| PFIZER INC COM | Stock | 6K | 200 | – |
| PHILIP MORRIS INTL INC COM | Stock | 35K | 350 | – |
| PHUNWARE INC COM NEW | Stock | 165 | 30 | – |
| POWERSHARES QQQ TR | ETF | 63K | 132 | – |
| PRINCIPAL FINANCIAL GROUP INC COM | Stock | 23K | 296 | – |
| PROCTER AND GAMBLE CO COM | Stock | 276K | 2K | – |
| PROGRESSIVE CORP COM | Stock | 6K | 31 | – |
| PRUDENTIAL FINL INC | Stock | 23K | 192 | – |
| QUALYS INC COM | Stock | 113K | 795 | – |
| RELX PLC SPONSORED ADR | ADR | 5K | 119 | – |
| RIO TINTO PLC SPONSORED ADR | ADR | 12K | 186 | – |
| RIVIAN AUTOMOTIVE INC COM CL A | Stock | 27K | 2K | – |
| S&P GLOBAL INC COM | Stock | 134K | 300 | – |
| SANDY SPRING BANCORP INC COM | Stock | 37K | 2K | – |
| SAVARA INC COM | Stock | 8 | 2 | – |
| SBA COMMUNICATIONS CORP NEW CL A | REIT | 69K | 350 | – |
| SCHWAB CHARLES CORP COM | Stock | 15K | 202 | – |
| SCHWAB U.S. LARGE-CAP ETF | ETF | 23K | 360 | – |
| SCHWAB U.S. LARGE-CAP GROWTH ETF | ETF | 1M | 11K | – |
| SCHWAB U.S. LARGE-CAP VALUE ETF | ETF | 65K | 871 | – |
| SCHWAB U.S. MID-CAP ETF | ETF | 4M | 52K | – |
| SCHWAB U.S. SMALL-CAP ETF | ETF | 21K | 450 | – |
| SCHWAB US DIVIDEND EQUITY ETF | ETF | 19M | 244K | – |
| SEMPRA COM | Stock | 4K | 50 | – |
| SNAP INC CL A | Stock | 66 | 4 | – |
| SOLVENTUM CORP COM SHS | Stock | 2K | 43 | – |
| SOUTHERN CO COM | Stock | 4K | 47 | – |
| SPDR DOW JONES INDUSTRIAL ETF | ETF | 12K | 31 | – |
| SPDR PORTFOLIO DEVELOPED WORLD EX-US ETF | ETF | 28M | 802K | – |
| SPDR PORTFOLIO S&P 500 GROWTH ETF | ETF | 65K | 815 | – |
| SPDR PORTFOLIO S&P 500 VALUE ETF | ETF | 185K | 4K | – |
| SPDR S&P 500 ETF TRUST | ETF | 6M | 10K | – |
| SPDR S&P MIDCAP 400 ETF TRUST | ETF | 852K | 2K | – |
| SPDR SER TR S&P DIVID ETF | ETF | 10K | 81 | – |
| TECHNOLOGY SELECT SECTOR SPDR | ETF | 8K | 37 | – |
| TECK RESOURCES LTD CL B | Stock | 13K | 267 | – |
| TESLA MOTORS INC | Stock | 66K | 334 | – |
| TEXAS PACIFIC LAND CORPORATION COM | Stock | 55K | 75 | – |
| THE CIGNA GROUP COM | Stock | 6K | 17 | – |
| THOMSON REUTERS CORP. COM | Stock | 2K | 11 | – |
| TILRAY BRANDS INC COM | Stock | 10K | 6K | – |
| TREEHOUSE FOODS INC COM | Stock | 4K | 100 | – |
| TREX CO INC COM | Stock | 67K | 900 | – |
| TRUIST FINL CORP COM | Stock | 29K | 742 | – |
| UNION PAC CORP COM | Stock | 19K | 83 | – |
| UNITED AIRLS HLDGS INC COM | Stock | 61K | 1K | – |
| UNITED BANKSHARES INC WEST VA COM | Stock | 307K | 9K | – |
| UNITEDHEALTH GROUP | Stock | 51K | 100 | – |
| UTILITIES SELECT SECTOR SPDR FUND | ETF | 7K | 108 | – |
| VALE S A SPONSORED ADS | ADR | 16K | 1K | – |
| VANGUARD COMMUNICATION SERVICES ETF | ETF | 16K | 118 | – |
| VANGUARD DIVIDEND APPRECIATION ETF | ETF | 29K | 160 | – |
| VANGUARD FTSE ALL-WORLD EX-US | ETF | 38K | 648 | – |
| VANGUARD FTSE DEVELOPED MARKETS ETF | ETF | 15K | 308 | – |
| VANGUARD FTSE EMERGING MARKETS ETF | ETF | 14M | 328K | – |
| VANGUARD GROWTH ETF | ETF | 4M | 10K | – |
| VANGUARD HEALTH CARE ETF | ETF | 27K | 100 | – |
| VANGUARD HIGH DIVIDEND YIELD | ETF | 32K | 266 | – |
| VANGUARD LARGE-CAP ETF | ETF | 182K | 730 | – |
| VANGUARD MID CAP | ETF | 44K | 180 | – |
| VANGUARD S&P 500 ETF | ETF | 10M | 20K | – |
| VANGUARD S&P 500 GROWTH ETF | ETF | 537K | 2K | – |
| VANGUARD S&P MID-CAP 400 ETF | ETF | 31K | 316 | – |
| VANGUARD S&P MID-CAP 400 GROWTH ETF | ETF | 81K | 740 | – |
| VANGUARD S&P MID-CAP 400 VALUE ETF | ETF | 323K | 4K | – |
| VANGUARD SMALL CAP ETF | ETF | 11M | 50K | – |
| VANGUARD TOTAL STK MKT | ETF | 290K | 1K | – |
| VANGUARD VALUE ETF | ETF | 8M | 50K | – |
| VISA INC COM CL A | Stock | 39K | 150 | – |
| VIVOPOWER INTERNATIONAL PLC SHS NEW | Stock | 138 | 100 | – |
| WALMART INC COM | Stock | 20K | 300 | – |
| WASTE MANAGEMENT INC | Stock | 9K | 43 | – |
| WINGSTOP INC COM | Stock | 3K | 8 | – |
| WISDOMTREE U.S. AI ENHANCED VALUE FUND | ETF | 30K | 300 | – |
| WOODSIDE ENERGY GROUP LTD SPONSORED ADR | ADR | 1K | 73 | – |
| ZETA GLOBAL HOLDINGS CORP CL A | Stock | 94K | 5K | – |