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CRD 109939
PASADENA, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| THOMAS WOODWARD HULICK | n/a | Pasadena, CA | 8 | 31 | 7 | no |
| Joseph Peter Traba | n/a | PASADENA, CA | 6 | 29 | 4 | yes |
| GREGORY RICHARD WERTZ | n/a | Westport, CT | 5 | 32 | n/a | no |
| David Jin Kyu Chong | n/a | PASADENA, CA | 4 | 30 | 5 | no |
| William Hamelin | n/a | PASADENA, CA | 4 | 11 | n/a | no |
| VICTOR MARTINEZ | n/a | PASADENA, CA | 2 | 16 | 3 | no |
| Alexander Henry Hagstrom | Chartered Financial Analyst | Pasadena, CA | 1 | 13 | 2 | no |
| Liam Thomas Critchett | n/a | PASADENA, CA | 1 | 11 | n/a | no |
| HAROLD BOWLER PARKER | n/a | Pasadena, CA | 0 | 43 | 3 | no |
| Israel Damon Stanley | n/a | El Cajon, CA | PASADENA, CA | 0 | 11 | n/a | no |
| David Mac Cormick Carter | n/a | Redondo Beach, CA | PASADENA, CA | 0 | 32 | n/a | no |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| HCM-SOF I, LLC | Other Private Fund | $6.0M | Jun 11, 2026 | 6 | Nov 30, 2023 | reported | 021-2001539 |
| HCM - SOF II, LLC | n/a | $5.4M | Jun 11, 2026 | 57 | Jun 11, 2026 | reported | 021-2032064 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| HULICK CAPITAL MANAGEMENT LLC | Owner | E | yes | 01/2016 | Jun 11, 2026 | Jun 11, 2026 |
| HULICK, THOMAS, WOODWARD | CHIEF COMPLIANCE OFFICER | Na | yes | 08/2018 | Jun 11, 2026 | Jun 11, 2026 |
| HULICK, THOMAS, WOODWARD | MANAGING MEMBER | C | yes | 03/2013 | Jan 11, 2016 | Sep 18, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| STRATEGY ASSET INSURANCE SERVICES, LLC | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Westport | Ct | United States | 2 | no |
| WOODCLIFF LAKE | Nj | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 31, 2026 | $930M | $930M | 10 | 10 | 2 | 2 | n/a |
| 2024 | Apr 30, 2025 | $742M | $742M | 9 | 9 | 2 | 2 | n/a |
| 2023 | Mar 20, 2024 | $631M | $631M | 12 | 6 | 2 | 1 | $460,000 |
| 2022 | Mar 20, 2023 | $593M | $593M | 12 | 8 | 3 | n/a | n/a |
| 2021 | Mar 31, 2022 | $677M | $677M | 9 | 6 | 3 | n/a | n/a |
| 2020 | Jan 22, 2021 | $584M | $584M | 7 | 6 | 2 | n/a | n/a |
| 2019 | Mar 13, 2020 | $610M | $610M | 7 | 7 | 2 | n/a | n/a |
| 2018 | Mar 28, 2019 | $513M | $501M | 10 | 3 | 3 | n/a | n/a |
| 2017 | Mar 29, 2018 | $595M | $595M | 10 | 4 | 3 | n/a | n/a |
| 2016 | Mar 28, 2017 | $519M | $519M | 13 | 3 | n/a | n/a | n/a |
| 2015 | Mar 1, 2016 | $545M | $545M | 9 | 3 | n/a | n/a | n/a |
| 2014 | Mar 17, 2015 | $573M | $573M | 9 | 3 | n/a | n/a | n/a |
| 2013 | Mar 5, 2014 | $566M | $566M | 5 | 2 | n/a | n/a | n/a |
| 2012 | Mar 22, 2013 | $483M | $483M | 5 | 2 | n/a | n/a | n/a |
| 2011 | Apr 10, 2012 | $478M | $478M | n/a | n/a | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 1 | 0 | 1 | 0.0% | 0 | 0 | 0 | 4 | 3 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $930M | $742M | 25.4% | $593M | 16.2% | 10 | 9 | 2 | 2 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| HOLLY STREET WEALTH ADVISORS | 5 | Jan 2, 2020 | Jan 5, 2026 | PASADENA, CA | Firm absorbed | RIA to RIA | 100.0% |