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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

HALPERN FINANCIAL, INC.

CRD 108822

ASHBURN, VA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:232789b8-b530-6710-554e-6e9522011c82

Data as of Mar 29, 2024 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 13
On other graphs: 0
Observed: Jan 24, 2012 to Mar 29, 2024
33 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $1.1BItem 5.F on the latest filing (2024-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.1B
Private client RAUM: $983MderivedItem 5.D individuals plus high net worth individuals
Private client share: 89%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 13
Advisory employees: 7
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 1,332
Individual clients: 140
High net worth clients: 188
Custody, client assets: $41.6M
SEC number: 801-57444
CRD: 108822
Filings on the tape: 33
First filed: Jan 24, 2012
Latest filed: Mar 29, 2024
Organised: Corporation, Maryland

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
HALPERN, TED, STEPHEN	PRESIDENT & DIRECTOR	E	yes	07/1998	Jan 24, 2012	Mar 29, 2024
SOTUDEH, MELISSA, GUEVARA	CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR	Na	yes	01/2015	Feb 3, 2015	Mar 29, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Rockville	Md	United States	6	no
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Feb 5, 2024	$1.1B	$1.1B	13	7	2	n/a	n/a
2022	Mar 14, 2023	$829M	$829M	12	6	2	n/a	n/a
2021	Mar 23, 2022	$863M	$863M	11	7	2	n/a	n/a
2020	Mar 22, 2021	$687M	$687M	10	7	1	n/a	n/a
2019	Mar 2, 2020	$555M	$555M	11	7	1	n/a	n/a
2018	Feb 15, 2019	$409M	$409M	10	7	1	n/a	n/a
2017	Mar 19, 2018	$383M	$383M	8	6	1	n/a	n/a
2016	Jan 31, 2017	$282M	$282M	8	6	n/a	n/a	n/a
2015	Feb 25, 2016	$245M	$245M	7	4	n/a	n/a	n/a
2014	Feb 3, 2015	$243M	$243M	6	3	n/a	n/a	n/a
2013	Mar 24, 2014	$223M	$223M	7	4	n/a	n/a	n/a
2012	Mar 8, 2013	$195M	$195M	5	3	n/a	n/a	n/a
2011	Jan 24, 2012	$168M	$168M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$1.1B	$829M	32.5%	$687M	16.9%	13	12	2	2

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
MAI CAPITAL MANAGEMENT, LLC	5	Oct 8, 2024	Oct 17, 2024	ROCKVILLE, MD	Firm absorbed	RIA to RIA	83.3%

Relationships

Controls (2)

← HALPERN, TED, STEPHENOwnerPRESIDENT & DIRECTOR, ownership code E, individual
Jan 24, 2012 to presentfactForm ADV
← SOTUDEH, MELISSA, GUEVARAOwnerCHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR, ownership code NA, individual
Feb 3, 2015 to presentfactForm ADV

Moved with (1)

→ MAI CAPITAL MANAGEMENT, LLCRegistered adviser5 advisors, firm absorbed, same day
Oct 8, 2024 to Oct 17, 2024factForm ADV

Registered with (8)

← TED STEPHEN HALPERNAdvisorregistration: previous registration
Jul 22, 2003 to Oct 8, 2024factForm ADV
← DANIEL JON TRUMBOWERAdvisorregistration: previous registration
Oct 7, 2019 to Oct 8, 2024factForm ADV
← MELISSA GUEVARA SOTUDEHAdvisorregistration: previous registration
Nov 21, 2013 to Oct 8, 2024factForm ADV
← KIRSTY JANE PEEVAdvisorregistration: previous registration
Apr 20, 2010 to Oct 8, 2024factForm ADV
← JENNIFER MARY DAVISAdvisorregistration: previous registration
Nov 17, 2015 to Oct 8, 2024factForm ADV
← Cody JamesAdvisorregistration: previous registration
Mar 24, 2022 to Oct 8, 2024factForm ADV
← DAVID MICHAEL LEONEAdvisorregistration: previous registration
Dec 20, 2023 to Aug 22, 2024factForm ADV
← AARON WAYNE CLARKEAdvisorregistration: previous registration
Oct 23, 2018 to May 24, 2022factForm ADV

Dated events

Occurred
Oct 8, 2024
Firm absorbed
Halpern Financial, Inc.'s advisors moved to Mai Capital Management, LLC (Rockville, MD): 5 of 6 registered, on the same day
Form ADVobserved 6 days ago
5 advisors
Occurred
Oct 8, 2024
Advisor changed firm
Daniel Jon Trumbower left Halpern Financial, Inc. for Mai Capital Management, Llc (registered 2024-10-11)
Form ADVobserved 6 days ago
Occurred
Oct 8, 2024
Advisor changed firm
Jennifer Mary Davis left Halpern Financial, Inc. for Mai Capital Management, Llc (registered 2024-10-17)
Form ADVobserved 6 days ago
Occurred
Oct 8, 2024
Advisor changed firm
Kirsty Jane Peev left Halpern Financial, Inc. for Mai Capital Management, Llc (registered 2024-10-11)
Form ADVobserved 6 days ago
Occurred
Oct 8, 2024
Advisor changed firm
Cody James left Halpern Financial, Inc. for Mai Capital Management, Llc (registered 2024-10-11)
Form ADVobserved 6 days ago
Occurred
Oct 8, 2024
Advisor changed firm
Melissa Guevara Sotudeh left Halpern Financial, Inc. for Mai Capital Management, Llc (registered 2024-10-11)
Form ADVobserved 6 days ago
Occurred
Oct 8, 2024
Advisor changed firm
Ted Stephen Halpern left Halpern Financial, Inc. for Ifocus Financial, Llc (registered 2011-01-12)
Form ADVobserved 6 days ago
Occurred
Aug 22, 2024
Advisor changed firm
David Michael Leone left Halpern Financial, Inc. for Forefront (registered 2024-08-27)
Form ADVobserved 6 days ago
Occurred
Feb 5, 2024
Regulatory AUM changed
Halpern Financial, Inc. reported RAUM $1.1B, up 33% from $828.8M (2023-03-17 to 2024-02-05)
Form ADVobserved 6 days ago
$270M
Occurred
May 24, 2022
Advisor changed firm
Aaron Wayne Clarke left Halpern Financial, Inc. for Origin Investment Advisory Llc (registered 2022-06-28)
Form ADVobserved 6 days ago
Occurred
Mar 23, 2022
Regulatory AUM changed
Halpern Financial, Inc. reported RAUM $863.2M, up 26% from $686.8M (2021-03-23 to 2022-03-23)
Form ADVobserved 6 days ago
$176M
Occurred
Mar 2, 2020
Regulatory AUM changed
Halpern Financial, Inc. reported RAUM $554.6M, up 36% from $409.2M (2019-06-19 to 2020-03-02)
Form ADVobserved 6 days ago
$145M
Occurred
Mar 19, 2018
Regulatory AUM changed
Halpern Financial, Inc. reported RAUM $383.4M, up 36% from $282.2M (2017-11-30 to 2018-03-19)
Form ADVobserved 6 days ago
$101M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:232789b8-b530-6710-554e-6e9522011c82
First observed: Jan 24, 2012
Last observed: Mar 29, 2024 30 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

HALPERN FINANCIAL, INC.

CRD 108822

ASHBURN, VA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:232789b8-b530-6710-554e-6e9522011c82

Data as of Mar 29, 2024 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:16 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HALPERN, TED, STEPHEN

PRESIDENT & DIRECTOR

yes

07/1998

Jan 24, 2012

Mar 29, 2024

SOTUDEH, MELISSA, GUEVARA

CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR

yes

01/2015

Feb 3, 2015

Mar 29, 2024

City

State

Country

Employees

Also broker-dealer

Rockville

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

Feb 5, 2024

$1.1B

n/a

2022

Mar 14, 2023

$829M

n/a

2021

Mar 23, 2022

$863M

n/a

2020

Mar 22, 2021

$687M

n/a

2019

Mar 2, 2020

$555M

n/a

2018

Feb 15, 2019

$409M

n/a

2017

Mar 19, 2018

$383M

n/a

2016

Jan 31, 2017

$282M

n/a

2015

Feb 25, 2016

$245M

n/a

2014

Feb 3, 2015

$243M

n/a

2013

Mar 24, 2014

$223M

n/a

2012

Mar 8, 2013

$195M

n/a

2011

Jan 24, 2012

$168M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

$1.1B

$829M

32.5%

$687M

16.9%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MAI CAPITAL MANAGEMENT, LLC

Oct 8, 2024

Oct 17, 2024

ROCKVILLE, MD

Firm absorbed

RIA to RIA

83.3%