HBC FINANCIAL SERVICES, PLLC
Adviser information for HBC FINANCIAL SERVICES, PLLC last updated from Form ADV on March 1st, 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 | 5 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| 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 | 659 | $433.0M |
| Non-Discretionary | 15 | $14.0M |
| Total | 674 | $447.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 122 | $31.1M |
| HNW Individuals | 144 | $397.9M |
| 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 | 3 | $10.6M |
| Charitable organizations | 4 | $4.0M |
| 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 | 12 | $3.5M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Principal Office
1200 WESTLAKE AVE N, STE 902SEATTLE
WA
United States
Monday - Friday, 8 AM - 4:30 PM
Tel: 206-548-5000, Fax: 206-545-6915
Websites
Chief Compliance Officer
JAMES D. GUARD III
MEMBER, CPA, PFS
1200 WESTLAKE AVE N, STE 902
SEATTLE
WA
United States
Tel:
206-548-5000
Fax:
206-545-6915
J**@*************M
(Full email address available in API data)
Regulatory Contact
JAMES B. CLAYPOOL
MEMBER
1200 WESTLAKE AVE N, STE 902
SEATTLE
WA
United States
Tel:
206-548-5000
Fax:
206-545-6915
J**@*************M
(Full email address available in API data)
Industry Affiliates
| HARRISON BERKMAN CLAYPOOL & GUARD, PLLC | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CLAYPOOL, JAMES, B. | Individual | – | MEMBER | 01/2005 | 25-50% |
| GUARD, JAMES, DAYTON | Individual | – | MEMBER AND CHIEF COMPLIANCE OFFICER | 12/2014 | 25-50% |
| Niess, Janon, Lee | Individual | – | MEMBER | 01/2021 | 25-50% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 7th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| 23andMe Holding Co Class A | Stock | 0 | 1K | – |
| 3M Co | Stock | 5 | 43 | – |
| Abbott Laboratories | Stock | 90 | 865 | – |
| AbbVie Inc | Stock | 249 | 1K | – |
| Alaska Air Group Inc | Stock | 6 | 164 | – |
| Alphabet Inc Class A | Stock | 187 | 1K | – |
| Alphabet Inc Class C | Stock | 94 | 550 | – |
| Altria Group Inc | Stock | 3 | 60 | – |
| Amazon.com Inc | Stock | 780 | 4K | – |
| American Express Co | Stock | 1 | 7 | – |
| American Tower Corp | Stock | 16 | 75 | – |
| Amgen Inc | Stock | 216 | 646 | – |
| Amkor Technology Inc | Stock | 0 | 10 | – |
| Amplify Cash Flow Dividend Leaders ETF | Exchange-Traded Fund | 2 | 100 | – |
| Apple Inc | Stock | 2K | 10K | – |
| Arista Networks Inc | Stock | 1 | 5 | – |
| ASML Holding NV ADR | Stock | 4 | 5 | – |
| AT&T Inc | Stock | 319 | 17K | – |
| Bank of America Corp | Stock | 61 | 1K | – |
| Bank of New York Mellon Corp | Stock | 21 | 335 | – |
| Berkshire Hathaway Inc Class A | Stock | 658 | 1 | – |
| Berkshire Hathaway Inc Class B | Stock | 726 | 2K | – |
| BJ's Wholesale Club Holdings Inc | Stock | 3 | 35 | – |
| BlackBerry Ltd | Stock | 0 | 6 | – |
| BlackRock Inc | Stock | 38 | 44 | – |
| BlackRock Util, Infra & Power Opp | Closed-End Fund | 157 | 7K | – |
| Blackstone Inc | Stock | 4 | 30 | – |
| Blum Holdings Inc | Stock | 0 | 2 | – |
| Boeing Co | Stock | 75 | 408 | – |
| Broadcom Inc | Stock | 93 | 620 | – |
| Brookfield Asset Management Ltd Ordinary Shares - Class A | Stock | 50 | 1K | – |
| Brookfield Renewable Corp Ordinary Shares - Class A (Sub Voting) | Stock | 33 | 1K | – |
| Carnival Corp | Stock | 3 | 200 | – |
| Carrier Global Corp Ordinary Shares | Stock | 1 | 25 | – |
| Caterpillar Inc | Stock | 57 | 168 | – |
| Charles Schwab Corp | Stock | 3 | 50 | – |
| Chevron Corp | Stock | 157 | 1K | – |
| Chubb Ltd | Stock | 271 | 1K | – |
| Cisco Systems Inc | Stock | 91 | 2K | – |
| Cleveland-Cliffs Inc | Stock | 0 | 50 | – |
| Coca-Cola Co | Stock | 153 | 2K | – |
| Comcast Corp Class A | Stock | 42 | 1K | – |
| Compass Minerals International Inc | Stock | 2 | 200 | – |
| Costco Wholesale Corp | Stock | 1K | 2K | – |
| CRH PLC | Stock | 4 | 50 | – |
| CrowdStrike Holdings Inc Class A | Stock | 2 | 10 | – |
| Diamondback Energy Inc | Stock | 4 | 23 | – |
| DigitalBridge Group Inc Class A | Stock | 0 | 0 | – |
| Dimensional International Value ETF | Exchange-Traded Fund | 0 | 0 | – |
| Dominion Energy Inc | Stock | 10 | 200 | – |
| Enbridge Inc | Stock | 15 | 423 | – |
| Energy Transfer LP | Stock | 40 | 3K | – |
| Enphase Energy Inc | Stock | 1 | 15 | – |
| Entergy Corp | Stock | 11 | 103 | – |
| Enterprise Products Partners LP | Stock | 68 | 2K | – |
| Expeditors International of Washington Inc | Stock | 35 | 284 | – |
| Exxon Mobil Corp | Stock | 253 | 2K | – |
| Fastenal Co | Stock | 32 | 461 | – |
| Fidelity Enhanced Mid Cap ETF | Exchange-Traded Fund | 148 | 5K | – |
| First Majestic Silver Corp | Stock | 0 | 13 | – |
| Ford Motor Co | Stock | 2 | 222 | – |
| FS Investment Corp II | Stock | 0 | 0 | – |
| FS KKR Capital Corp | Stock | 16 | 815 | – |
| Garmin Ltd | Stock | 27 | 155 | – |
| General Dynamics Corp | Stock | 290 | 1K | – |
| Gilead Sciences Inc | Stock | 11 | 148 | – |
| GoPro Inc Class A | Stock | 0 | 22 | – |
| Impinj Inc | Stock | 68 | 417 | – |
| Innoviz Technologies Ltd | Stock | 0 | 500 | – |
| Intel Corp | Stock | 47 | 2K | – |
| Invesco QQQ Trust | Exchange-Traded Fund | 4 | 10 | – |
| Invesco S&P 500 GARP ETF | Exchange-Traded Fund | 84 | 815 | – |
| Invesco S&P 500 High Div Low Vol ETF | Exchange-Traded Fund | 94 | 2K | – |
| iShares Core S&P 500 ETF | Exchange-Traded Fund | 1K | 2K | – |
| iShares Core S&P Mid-Cap ETF | Exchange-Traded Fund | 48K | 774K | – |
| iShares Core US Aggregate Bond ETF | Exchange-Traded Fund | 12K | 122K | – |
| iShares ESG 1-5 Year USD Corp Bd ETF | Exchange-Traded Fund | 58 | 2K | – |
| iShares ESG U.S. Aggregate Bond ETF | Exchange-Traded Fund | 52 | 1K | – |
| iShares MSCI EAFE ETF | Exchange-Traded Fund | 313 | 4K | – |
| iShares MSCI Pacific ex Japan ETF | Exchange-Traded Fund | 1 | 36 | – |
| iShares National Muni Bond ETF | Exchange-Traded Fund | 14K | 132K | – |
| iShares Russell 1000 ETF | Exchange-Traded Fund | 48K | 159K | – |
| iShares Russell 3000 ETF | Exchange-Traded Fund | 124 | 401 | – |
| iShares Russell Mid-Cap ETF | Exchange-Traded Fund | 443 | 5K | – |
| iShares Russell Mid-Cap Growth ETF | Exchange-Traded Fund | 187 | 2K | – |
| iShares Russell Mid-Cap Value ETF | Exchange-Traded Fund | 205 | 2K | – |
| iShares Silver Trust | Exchange-Traded Fund | 11 | 440 | – |
| iShares TIPS Bond ETF | Exchange-Traded Fund | 14 | 138 | – |
| Johnson & Johnson | Stock | 9 | 62 | – |
| JPMorgan Chase & Co | Stock | 190 | 895 | – |
| JPMorgan Equity Premium Income ETF | Exchange-Traded Fund | 107 | 2K | – |
| JPMorgan Nasdaq Equity Premium Inc ETF | Exchange-Traded Fund | 100 | 2K | – |
| Kayne Anderson Energy Infrastructure | Closed-End Fund | 52 | 5K | – |
| Kenvue Inc | Stock | 10 | 540 | – |
| Live Nation Entertainment Inc | Stock | 1 | 20 | – |
| Lloyds Banking Group PLC ADR | Stock | 1 | 500 | – |
| Lockheed Martin Corp | Stock | 527 | 1K | – |
| Lowe's Companies Inc | Stock | 83 | 350 | – |
| Marathon Oil Corp | Stock | 1 | 60 | – |
| MedMen Enterprises Inc | Stock | 0 | 5K | – |
| Medtronic PLC | Stock | 16 | 211 | – |
| Merck & Co Inc | Stock | 155 | 1K | – |
| Meta Platforms Inc Class A | Stock | 62 | 135 | – |
| Microsoft Corp | Stock | 7K | 16K | – |
| Moderna Inc | Stock | 1 | 15 | – |
| MPLX LP Partnership Units | Stock | 42 | 1K | – |
| NEOS S&P 500 High Income ETF | Exchange-Traded Fund | 94 | 2K | – |
| Nordstrom Inc | Stock | 9 | 440 | – |
| NVIDIA Corp | Stock | 55 | 500 | – |
| Occidental Petroleum Corp | Stock | 123 | 2K | – |
| ONEOK Inc | Stock | 82 | 1K | – |
| Otis Worldwide Corp Ordinary Shares | Stock | 0 | 7 | – |
| Owens-Corning Inc | Stock | 4 | 27 | – |
| PACCAR Inc | Stock | 20 | 202 | – |
| Pacer US Cash Cows 100 ETF | Exchange-Traded Fund | 92 | 2K | – |
| Palantir Technologies Inc Ordinary Shares - Class A | Stock | 1 | 50 | – |
| PayPal Holdings Inc | Stock | 5 | 100 | – |
| Permian Resources Corp Class A | Stock | 2 | 150 | – |
| Pfizer Inc | Stock | 13 | 454 | – |
| PIMCO Dynamic Income Opportunities Fund | Closed-End Fund | 73 | 6K | – |
| PIMCO Municipal Income III | Closed-End Fund | 61 | 8K | – |
| Procter & Gamble Co | Stock | 66 | 393 | – |
| Prudential Financial Inc | Stock | 18 | 151 | – |
| Realty Income Corp | Stock | 10 | 183 | – |
| Rivian Automotive Inc Class A | Stock | 12 | 775 | – |
| Rocky Brands Inc | Stock | 3 | 100 | – |
| Roundhill Daily 2X Lon Mag Sev ETF | Exchange-Traded Fund | 4 | 150 | – |
| RTX Corp | Stock | 2 | 25 | – |
| Schwab US Dividend Equity ETF | Exchange-Traded Fund | 493 | 6K | – |
| Schwab US Large-Cap Growth ETF | Exchange-Traded Fund | 172 | 2K | – |
| ServiceNow Inc | Stock | 0 | 1 | – |
| Simon Property Group Inc | Stock | 33 | 220 | – |
| Sixth Street Specialty Lending Inc | Stock | 52 | 3K | – |
| Solventum Corp | Stock | 0 | 10 | – |
| Sonoma Pharmaceuticals Inc | Stock | 0 | 2 | – |
| SPDR Gold MiniShares | Exchange-Traded Fund | 24 | 511 | – |
| SPDR Gold Shares | Exchange-Traded Fund | 5 | 25 | – |
| SPDR S&P 500 ETF Trust | Exchange-Traded Fund | 141 | 260 | – |
| SPDR S&P 600 Small Cap Growth ETF | Exchange-Traded Fund | 171 | 2K | – |
| SPDR S&P 600 Small Cap Value ETF | Exchange-Traded Fund | 62 | 720 | – |
| Starbucks Corp | Stock | 3K | 43K | – |
| Super Micro Computer Inc | Stock | 24 | 35 | – |
| Taiwan Semiconductor Manufacturing Co Ltd ADR | Stock | 22 | 140 | – |
| Tesla Inc | Stock | 304 | 1K | – |
| The Arena Group Holdings Inc | Stock | 0 | 1K | – |
| The Goldman Sachs Group Inc | Stock | 4 | 10 | – |
| The Home Depot Inc | Stock | 359 | 1K | – |
| The Kraft Heinz Co | Stock | 70 | 2K | – |
| The Walt Disney Co | Stock | 9 | 100 | – |
| Thermo Fisher Scientific Inc | Stock | 607 | 1K | – |
| Unilever PLC ADR | Stock | 15 | 255 | – |
| Union Pacific Corp | Stock | 29 | 122 | – |
| United Parcel Service Inc Class B | Stock | 28 | 219 | – |
| UnitedHealth Group Inc | Stock | 4 | 8 | – |
| VanEck Semiconductor ETF | Exchange-Traded Fund | 51 | 215 | – |
| Vanguard Dividend Appreciation ETF | Exchange-Traded Fund | 2K | 10K | – |
| Vanguard FTSE Developed Markets ETF | Exchange-Traded Fund | 94 | 2K | – |
| Vanguard FTSE Emerging Markets ETF | Exchange-Traded Fund | 3 | 77 | – |
| Vanguard Information Technology ETF | Exchange-Traded Fund | 33 | 60 | – |
| Vanguard Real Estate ETF | Exchange-Traded Fund | 233 | 3K | – |
| Vanguard Small-Cap ETF | Exchange-Traded Fund | 3K | 15K | – |
| Vanguard Total Stock Market ETF | Exchange-Traded Fund | 3K | 9K | – |
| Vanguard Total World Stock ETF | Exchange-Traded Fund | 40 | 358 | – |
| Ventas Inc | Stock | 17 | 323 | – |
| Verizon Communications Inc | Stock | 16 | 400 | – |
| Walmart Inc | Stock | 383 | 6K | – |
| Warner Bros. Discovery Inc Ordinary Shares - Class A | Stock | 33 | 4K | – |
| Waste Management Inc | Stock | 60 | 300 | – |
| Woodbrook Group Holdings Inc | Stock | 0 | 1 | – |
| Zillow Group Inc Class A | Stock | 4 | 100 | – |
| Zillow Group Inc Class C | Stock | 9 | 200 | – |
| Zoetis Inc Class A | Stock | 28 | 155 | – |
| Zscaler Inc | Stock | 0 | 5 | – |