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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

HALSEY ASSOCIATES INC

CRD 108301

NEW HAVEN, CT

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:29a7ddc6-bf49-0171-59ba-571efca71c3b

Data as of Feb 13, 2015 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Mar 5, 2012 to Feb 13, 2015
8 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: $880MItem 5.F on the latest filing (2015-02-13); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $874M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees: 3
Accounts: 696
SEC number: 801-13704
CRD: 108301
Filings on the tape: 8
First filed: Mar 5, 2012
Latest filed: Feb 13, 2015
Organised: Corporation, Connecticut

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
BEIRNE, THOMAS	VICE PRESIDENT, SECRETARY & DIRECTOR	Na	yes	03/2008	Mar 5, 2012	Feb 13, 2015
ELLIS, THOMAS, NELSON	VICE PRESIDENT & DIRECTOR	Na	yes	10/2010	Mar 5, 2012	Feb 13, 2015
JULIAN, KENNETH, JAMES	PRESIDENT, CHIEF COMPLIANCE OFFICER & DIRECTOR	C	yes	06/2005	Mar 5, 2012	Feb 13, 2015
ZOLDY, JAMES, STEPHEN	CHAIRMAN, TREASURER & DIRECTOR	C	yes	06/2005	Mar 5, 2012	Feb 13, 2015

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
2014	Feb 13, 2015	$880M	$874M	7	3	n/a	n/a	n/a
2013	Feb 21, 2014	$850M	$840M	7	3	n/a	n/a	n/a
2012	Feb 27, 2013	$791M	$777M	7	3	n/a	n/a	n/a
2011	Mar 5, 2012	$753M	$742M	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
2014	$880M	$850M	3.5%	$753M	5.3%	7	7	n/a	n/a

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
HALSEY ASSOCIATES	2	Oct 1, 2015	Sep 11, 2015	NEW HAVEN, CT	Channel change	Other	100.0%

Relationships

Controls (4)

← JULIAN, KENNETH, JAMESOwnerPRESIDENT, CHIEF COMPLIANCE OFFICER & DIRECTOR, ownership code C, individual
Mar 5, 2012 to presentfactForm ADV
← ELLIS, THOMAS, NELSONOwnerVICE PRESIDENT & DIRECTOR, ownership code NA, individual
Mar 5, 2012 to presentfactForm ADV
← BEIRNE, THOMASOwnerVICE PRESIDENT, SECRETARY & DIRECTOR, ownership code NA, individual
Mar 5, 2012 to presentfactForm ADV
← ZOLDY, JAMES, STEPHENOwnerCHAIRMAN, TREASURER & DIRECTOR, ownership code C, individual
Mar 5, 2012 to presentfactForm ADV

Registered with (2)

← THOMAS NELSON ELLISAdvisorregistration: previous registration
Dec 7, 2010 to Oct 1, 2015factForm ADV
← JAMES STEPHEN ZOLDYAdvisorregistration: previous registration
Jan 20, 2010 to Oct 1, 2015factForm ADV

Moved with (1)

→ HALSEY ASSOCIATESRegistered adviser2 advisors, team lift out, same day
Oct 1, 2015 to Sep 11, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:29a7ddc6-bf49-0171-59ba-571efca71c3b
First observed: Mar 5, 2012
Last observed: Feb 13, 2015 141 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.

HALSEY ASSOCIATES INC

CRD 108301

NEW HAVEN, CT

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:29a7ddc6-bf49-0171-59ba-571efca71c3b

Data as of Feb 13, 2015 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:33 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BEIRNE, THOMAS

VICE PRESIDENT, SECRETARY & DIRECTOR

yes

03/2008

Mar 5, 2012

Feb 13, 2015

ELLIS, THOMAS, NELSON

VICE PRESIDENT & DIRECTOR

yes

10/2010

Mar 5, 2012

Feb 13, 2015

JULIAN, KENNETH, JAMES

PRESIDENT, CHIEF COMPLIANCE OFFICER & DIRECTOR

yes

06/2005

Mar 5, 2012

Feb 13, 2015

ZOLDY, JAMES, STEPHEN

CHAIRMAN, TREASURER & DIRECTOR

yes

06/2005

Mar 5, 2012

Feb 13, 2015

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Feb 13, 2015

$880M

$874M

n/a

2013

Feb 21, 2014

$850M

$840M

n/a

2012

Feb 27, 2013

$791M

$777M

n/a

2011

Mar 5, 2012

$753M

$742M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

$880M

$850M

3.5%

$753M

5.3%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

HALSEY ASSOCIATES

Oct 1, 2015

Sep 11, 2015

NEW HAVEN, CT

Channel change

Other

100.0%