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RIA / WealthAdvisor31 years in industry

THOMAS WOODWARD HULICK

Advisor at STRATEGY ASSET MANAGERS L.L.C.

Pasadena, CA

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Search this name across graphsid dfx:ria:54ab7b8c-5592-e881-a3a8-2d4618b80cf4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Jul 8, 1997 to Sep 14, 2026

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

Current firm: STRATEGY ASSET MANAGERS L.L.C.
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 15, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 3
Exams: S65|S63
First exam: Aug 15, 1995
First registration: Jul 8, 1997
Dual registered: no
Other names: Thomas HULICK|Tom Hulick
IAPD individual key: 1806305

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
STRATEGY ASSET MANAGERS L.L.C.	Independent wealth	May 4, 2018	n/a	yes	Pasadena, CA	Current employment
HOLLY STREET WEALTH ADVISORS	Former SEC adviser	Apr 24, 2013	Jan 2, 2020	no	GLENDALE, CA\|PASADENA, CA	Previous registration
Worthpointe	Independent wealth	Nov 1, 2012	May 1, 2013	no	RAMONA, CA	Previous registration
FIRST FOUNDATION ADVISORS	Independent wealth	Mar 18, 2011	Oct 25, 2012	no	IRVINE, CA	Previous registration
UVEST FINANCIAL SERVICES GROUP, INC.	n/a	Nov 2, 2007	Sep 1, 2010	no	PASADENA, CA\|ONTARIO, CA\|PASADENA, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jan 12, 2005	Oct 16, 2007	no	LOS ANGELES, CA\|LOS ANGELES, CA	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Jan 27, 2003	Jan 8, 2005	no	LOS ANGELES, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Jul 8, 1997	Dec 19, 2002	no	BEVERLY HILLS, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
HOLLY STREET WEALTH ADVISORS	STRATEGY ASSET MANAGERS L.L.C.	Jan 2, 2020	May 4, 2018	-608	Firm change after gap	RIA to RIA
Worthpointe	HOLLY STREET WEALTH ADVISORS	May 1, 2013	Apr 24, 2013	-7	Firm change	Other
FIRST FOUNDATION ADVISORS	Worthpointe	Oct 25, 2012	Nov 1, 2012	7	Firm change	Other
UVEST FINANCIAL SERVICES GROUP, INC.	FIRST FOUNDATION ADVISORS	Sep 1, 2010	Mar 18, 2011	198	Firm change	Other
UBS FINANCIAL SERVICES INC.	UVEST FINANCIAL SERVICES GROUP, INC.	Oct 16, 2007	Nov 2, 2007	17	Firm change	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	UBS FINANCIAL SERVICES INC.	Jan 8, 2005	Jan 12, 2005	4	Firm change	Other
MORGAN STANLEY DW INC.	BANC OF AMERICA INVESTMENT SERVICES, INC.	Dec 19, 2002	Jan 27, 2003	39	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
167343:109939:CA:2020-01-02	Jan 2, 2020	May 4, 2018	PASADENA, CA	Firm change after gap

Relationships

Registered with (8)

→ STRATEGY ASSET MANAGERS L.L.C.Registered adviserregistration: current employment
May 4, 2018 to presentfactForm ADV
→ HOLLY STREET WEALTH ADVISORSRegistered adviserregistration: previous registration
Apr 24, 2013 to Jan 2, 2020factForm ADV
→ WORTHPOINTERegistered adviserregistration: previous registration
Nov 1, 2012 to May 1, 2013factForm ADV
→ FIRST FOUNDATION ADVISORSRegistered adviserregistration: previous registration
Mar 18, 2011 to Oct 25, 2012factForm ADV
→ UVEST FINANCIAL SERVICES GROUP, INC.Registered adviserregistration: previous registration
Nov 2, 2007 to Sep 1, 2010factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jan 12, 2005 to Oct 16, 2007factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Jan 27, 2003 to Jan 8, 2005factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Jul 8, 1997 to Dec 19, 2002factForm ADV

Dated events

No dated event names this entity yet.