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

HALSEY ASSOCIATES

HALSEY ASSOCIATES, INC., CRD 281212

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:52ea956d-eda8-df33-63da-d986486d92a1

Data as of Mar 22, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 2
On other graphs: 0
Observed: Aug 17, 2015 to Mar 22, 2019
7 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: $946MItem 5.F on the latest filing (2019-03-22); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $940M
Private client RAUM: $701MderivedItem 5.D individuals plus high net worth individuals
Private client share: 74%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees: 5
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 700
Individual clients: 139
High net worth clients: 149
SEC number: 801-106568
CRD: 281212
Filings on the tape: 7
First filed: Aug 17, 2015
Latest filed: Mar 22, 2019
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
GIM, MARK, KENYON WEVER	Director	Na	yes	08/2015	Aug 17, 2015	Mar 22, 2019
HANDY, EDWARD, OTIS	Director	Na	yes	08/2015	Mar 28, 2018	Mar 22, 2019
JULIAN, KENNETH, JAMES	EXECUTIVE VICE PRESIDENT, DIRECTOR	Na	yes	08/2015	Aug 17, 2015	Mar 22, 2019
OHSBERG, RONALD, STEPHEN	CHIEF FINANCIAL OFFICER, TREASURER, DIRECTOR	Na	yes	01/2018	Mar 28, 2018	Mar 22, 2019
Ryan, Kathleen, Anne	EXECUTIVE MANAGING DIRECTOR, DIRECTOR	Na	yes	01/2018	Mar 28, 2018	Mar 22, 2019
THE WASHINGTON TRUST COMPANY, OF WESTERLY	PARENT COMPANY	E	yes	08/2015	Aug 17, 2015	Mar 22, 2019
TREMBLAY, NICOLE, MARIE	Secretary	Na	yes	08/2015	Aug 17, 2015	Mar 22, 2019
WASHINGTON TRUST BANCORP, INC.	Sh	E	yes	08/2015	Aug 17, 2015	Mar 22, 2019
ZOLDY, JAMES, STEPHEN	PRESIDENT, DIRECTOR	Na	yes	08/2015	Aug 17, 2015	Mar 22, 2019

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
WESTON FINANCIAL GROUP INC	n/a	Independent wealth	$2.4B	N	yes	n/a
THE PARK INSURANCE AGENCY, INC.	n/a	n/a	n/a	N	yes	n/a
THE WASHINGTON TRUST COMPANY, OF WESTERLY	n/a	n/a	n/a	Y	no	Ri
WESTON SECURITIES CORPORATION	n/a	n/a	n/a	N	yes	n/a

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
2018	Mar 22, 2019	$946M	$940M	7	5	1	n/a	n/a
2017	Mar 28, 2018	$1.0B	$992M	7	3	1	n/a	n/a
2016	Mar 22, 2017	$890M	$884M	7	3	n/a	n/a	n/a
2015	Mar 30, 2016	$836M	$830M	7	3	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
2018	$946M	$1.0B	-5.6%	$836M	4.2%	7	7	1	1

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
WASHINGTON TRUST ADVISORS	3	Oct 1, 2019	Jan 8, 2024	NEW HAVEN, CT	Firm absorbed	RIA to RIA	100.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
HALSEY ASSOCIATES INC	2	Oct 1, 2015	Sep 11, 2015	NEW HAVEN, CT	Channel change	Other	100.0%

Relationships

Affiliated with (1)

→ WASHINGTON TRUST ADVISORSRegistered adviserother investment adviser, common control
factForm ADV

Controls (9)

← JULIAN, KENNETH, JAMESOwnerEXECUTIVE VICE PRESIDENT, DIRECTOR, ownership code NA, individual
Aug 17, 2015 to presentfactForm ADV
← ZOLDY, JAMES, STEPHENOwnerPRESIDENT, DIRECTOR, ownership code NA, individual
Aug 17, 2015 to presentfactForm ADV
← TREMBLAY, NICOLE, MARIEOwnerSECRETARY, ownership code NA, individual
Aug 17, 2015 to presentfactForm ADV
← GIM, MARK, KENYON WEVEROwnerDIRECTOR, ownership code NA, individual
Aug 17, 2015 to presentfactForm ADV
← Ryan, Kathleen, AnneOwnerEXECUTIVE MANAGING DIRECTOR, DIRECTOR, ownership code NA, individual
Mar 28, 2018 to presentfactForm ADV
← OHSBERG, RONALD, STEPHENOwnerCHIEF FINANCIAL OFFICER, TREASURER, DIRECTOR, ownership code NA, individual
Mar 28, 2018 to presentfactForm ADV
← HANDY, EDWARD, OTISOwnerDIRECTOR, ownership code NA, individual
Mar 28, 2018 to presentfactForm ADV
← THE WASHINGTON TRUST COMPANY, OF WESTERLYOwnerPARENT COMPANY, ownership code E, domestic entity
Aug 17, 2015 to presentfactForm ADV
← WASHINGTON TRUST BANCORP, INC.OwnerSH, ownership code E, domestic entity
Aug 17, 2015 to presentfactForm ADV

Moved with (2)

→ WASHINGTON TRUST ADVISORSRegistered adviser3 advisors, firm absorbed, same day
Oct 1, 2019 to Jan 8, 2024factForm ADV
← HALSEY ASSOCIATES INCRegistered adviser2 advisors, team lift out, same day
Oct 1, 2015 to Sep 11, 2015factForm ADV

Registered with (3)

← THOMAS NELSON ELLISAdvisorregistration: previous registration
Sep 11, 2015 to Oct 1, 2019factForm ADV
← JAMES STEPHEN ZOLDYAdvisorregistration: previous registration
Sep 11, 2015 to Oct 1, 2019factForm ADV
← PETER JONATHAN SECRISTAdvisorregistration: previous registration
Apr 29, 2019 to Oct 1, 2019factForm ADV

Dated events

Occurred
Aug 17, 2015
Succession filed (Item 4)
Halsey Associates reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 6 days ago
Occurred
Aug 17, 2015
First Form ADV filing
Halsey Associates filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:52ea956d-eda8-df33-63da-d986486d92a1
First observed: Aug 17, 2015
Last observed: Mar 22, 2019 91 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

HALSEY ASSOCIATES, INC., CRD 281212

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:52ea956d-eda8-df33-63da-d986486d92a1

Data as of Mar 22, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:23 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GIM, MARK, KENYON WEVER

Director

yes

08/2015

Aug 17, 2015

Mar 22, 2019

HANDY, EDWARD, OTIS

Director

yes

08/2015

Mar 28, 2018

Mar 22, 2019

JULIAN, KENNETH, JAMES

EXECUTIVE VICE PRESIDENT, DIRECTOR

yes

08/2015

Aug 17, 2015

Mar 22, 2019

OHSBERG, RONALD, STEPHEN

CHIEF FINANCIAL OFFICER, TREASURER, DIRECTOR

yes

01/2018

Mar 28, 2018

Mar 22, 2019

Ryan, Kathleen, Anne

EXECUTIVE MANAGING DIRECTOR, DIRECTOR

yes

01/2018

Mar 28, 2018

Mar 22, 2019

THE WASHINGTON TRUST COMPANY, OF WESTERLY

PARENT COMPANY

yes

08/2015

Aug 17, 2015

Mar 22, 2019

TREMBLAY, NICOLE, MARIE

Secretary

yes

08/2015

Aug 17, 2015

Mar 22, 2019

WASHINGTON TRUST BANCORP, INC.

yes

08/2015

Aug 17, 2015

Mar 22, 2019

ZOLDY, JAMES, STEPHEN

PRESIDENT, DIRECTOR

yes

08/2015

Aug 17, 2015

Mar 22, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

WESTON FINANCIAL GROUP INC

n/a

Independent wealth

$2.4B

yes

n/a

THE PARK INSURANCE AGENCY, INC.

n/a

yes

n/a

THE WASHINGTON TRUST COMPANY, OF WESTERLY

n/a

WESTON SECURITIES CORPORATION

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 22, 2019

$946M

$940M

n/a

2017

Mar 28, 2018

$1.0B

$992M

n/a

2016

Mar 22, 2017

$890M

$884M

n/a

2015

Mar 30, 2016

$836M

$830M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$946M

$1.0B

-5.6%

$836M

4.2%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

WASHINGTON TRUST ADVISORS

Oct 1, 2019

Jan 8, 2024

NEW HAVEN, CT

Firm absorbed

RIA to RIA

100.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

HALSEY ASSOCIATES INC

Oct 1, 2015

Sep 11, 2015

NEW HAVEN, CT

Channel change

Other

100.0%