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RIA / WealthRegistered adviserother adviserSEC registeredRAUM under $100M

HALO INVESTMENT SERVICES, LLC

CRD 325613

MANHASSET, NY

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:7b19e2a7-4a7f-818e-2553-8d45249ed18d

Data as of Sep 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 37
Dated events: 14
On other graphs: 0
Observed: Mar 16, 2023 to Sep 1, 2026
20 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: other adviserderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=21.0
Regulatory AUM: $75.2MItem 5.F on the latest filing (2026-09-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.0M
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: 24
RAUM per advisor: $3.1Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 24
Advisory employees: 21
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 8
Individual clients: 0
High net worth clients: 0
SEC number: 801-127670
CRD: 325613
Filings on the tape: 20
First filed: Mar 16, 2023
Latest filed: Sep 1, 2026
Organised: Limited Liability Company, DE

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
ALEXANDER RABINOVICH	n/a	CHICAGO, IL \| MANHASSET, NY	3	28	3	yes
DENNIS MONOHAN	n/a	MANHASSET, NY \| CHICAGO, IL	3	16	3	no
CHLOE ANNE LEITZKE	n/a	CHICAGO, IL \| MANHASSET, NY	3	13	3	yes
IAN JAMES ZINDEL	n/a	CHICAGO, IL \| MANHASSET, NY	3	10	1	yes
JOSEPH LEE MOSES	n/a	LONE TREE, CO \| MANHASSET, NY	3	28	4	yes
CHRISTOPHER JOHN SULLIVAN	n/a	MANHASSET, NY \| ALISO VIEJO, CA	3	21	2	yes
FRANK THOMAS MADALONE	n/a	MANHASSET, NY \| FAIR HAVEN, NJ	3	21	2	yes
COLIN MICHAEL EDWARD BIEBEL	n/a	MANHASSET, NY \| CHICAGO, IL	2	15	n/a	yes
Cameron S Grogan	n/a	MANHASSET, NY \| CHICAGO, IL	2	11	1	yes
CHRISTOPHER ROBERT VIRGILIO	n/a	CHICAGO, IL \| MANHASSET, NY	2	20	1	yes
SAM CLINTON PRICE	n/a	MANHASSET, NY \| CHICAGO, IL	2	27	2	yes
CHRISTOPHER CHURCHMAN WARREN	n/a	Celebration, FL \| MANHASSET, NY	2	24	n/a	yes
GREGORY THOMAS DONOHOE	n/a	FLORENCE, NJ \| MANHASSET, NY	2	18	5	yes
Gerard John Vanderzanden	Chartered Financial Consultant	MANHASSET, NY \| DUBLIN, CA	1	24	5	yes
COLLEEN M STOCKENBERG	n/a	MANHASSET, NY \| Webster Grove, MO	1	16	1	yes
MEGHAN CATHLEEN HAYES	n/a	New York, NY \| MANHASSET, NY	0	13	n/a	yes
JEREMY ALEX POPPER	n/a	MANHASSET, NY \| Chicago, IL	0	13	n/a	yes
KEVIN DOYLE	n/a	LaGrange, IL \| MANHASSET, NY	0	16	n/a	yes
LAURIN ELIZABETH STARCK	Chartered Financial Analyst	MANHASSET, NY \| Northbrook, IL	0	19	1	yes
Benjamin Theodore Hammond	n/a	Chicago, IL \| MANHASSET, NY	0	11	n/a	yes
Scott Thomas Watson	n/a	Chicago, IL \| MANHASSET, NY	0	12	n/a	no
Emmanuel Jacob Nager	n/a	MANHASSET, NY \| Chicago, IL	0	12	n/a	no
Grant Woodcock	n/a	MANHASSET, NY \| Estero, FL	0	12	n/a	no
JACK CUSHING THOMS	n/a	MANHASSET, NY \| Chicago, IL	0	15	n/a	yes

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
BARSEMA, JASON, M	Owner	D	yes	03/2018	Mar 16, 2023	Oct 31, 2024
HALO INVESTING, INC.	Member	E	yes	07/2023	Mar 16, 2023	Oct 31, 2024
KULATHAKA, SUNNY	Owner	D	yes	03/2018	May 1, 2023	Oct 31, 2024
KULATHAKAL HOLDINGS	Owner	D	yes	03/2018	May 1, 2023	Oct 31, 2024
KULATHAKAL, ELIZABETH, SUNNY	Owner	D	yes	03/2018	May 1, 2023	Oct 31, 2024
MONOHAN, DENNIS	HEAD OF INVESTMENT SOLUTIONS	Na	yes	10/2024	Oct 31, 2024	Oct 31, 2024
WARREN, CHRISTOPHER, CHURCHMAN	HEAD OF ASSET & WEALTH MANAGEMENT	Na	yes	10/2024	Oct 31, 2024	Oct 31, 2024
SADZEWICZ, GERY, JOSEPH	CHIEF COMPLIANCE OFFICER	Na	no	02/2023	Mar 16, 2023	Oct 31, 2024

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
HALO SECURITIES, LLC	n/a	n/a	n/a	Y	yes	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
Chicago	IL	United States	3	yes

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
2025	Mar 24, 2026	$60.0M	$0	24	21	1	n/a	n/a
2024	Mar 31, 2025	$32.6M	$0	15	15	1	n/a	n/a
2023	Mar 29, 2024	$31.2M	$31.2M	15	15	1	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
2	1	1	4.2%	0	0	0	8	4

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
2025	$75.2M	$32.6M	130.4%	n/a	n/a	24	15	1	1

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
ROTHSCHILD WEALTH LLC	10	Aug 9, 2023	Aug 18, 2023	OAKBROOK, IL	Team lift out	RIA to new firm	35.7%

Relationships

Registered with (28)

← JACK CUSHING THOMSAdvisorregistration: current employment
Jul 29, 2026 to presentfactForm ADV
← Grant WoodcockAdvisorregistration: current employment
Jul 16, 2026 to presentfactForm ADV
← Emmanuel Jacob NagerAdvisorregistration: current employment
Jun 16, 2026 to presentfactForm ADV
← Scott Thomas WatsonAdvisorregistration: current employment
Feb 24, 2026 to presentfactForm ADV
← Benjamin Theodore HammondAdvisorregistration: current employment
Feb 9, 2026 to presentfactForm ADV
← LAURIN ELIZABETH STARCKAdvisorregistration: current employment
Jan 30, 2026 to presentfactForm ADV
← MEGHAN CATHLEEN HAYESAdvisorregistration: current employment
Jan 28, 2026 to presentfactForm ADV
← JEREMY ALEX POPPERAdvisorregistration: current employment
Jan 28, 2026 to presentfactForm ADV
← KEVIN DOYLEAdvisorregistration: current employment
Jan 28, 2026 to presentfactForm ADV
← COLLEEN M STOCKENBERGAdvisorregistration: current employment
Jun 3, 2025 to presentfactForm ADV
← Gerard John VanderzandenAdvisorregistration: current employment
Sep 26, 2024 to presentfactForm ADV
← GREGORY THOMAS DONOHOEAdvisorregistration: current employment
Jun 10, 2024 to presentfactForm ADV
← CHRISTOPHER CHURCHMAN WARRENAdvisorregistration: current employment
Mar 18, 2024 to presentfactForm ADV
← SAM CLINTON PRICEAdvisorregistration: current employment
Feb 22, 2024 to presentfactForm ADV
← CHRISTOPHER ROBERT VIRGILIOAdvisorregistration: current employment
Feb 14, 2024 to presentfactForm ADV
← Cameron S GroganAdvisorregistration: current employment
Jan 23, 2024 to presentfactForm ADV
← COLIN MICHAEL EDWARD BIEBELAdvisorregistration: current employment
Oct 6, 2023 to presentfactForm ADV
← FRANK THOMAS MADALONEAdvisorregistration: current employment
Aug 18, 2023 to presentfactForm ADV
← CHRISTOPHER JOHN SULLIVANAdvisorregistration: current employment
Aug 11, 2023 to presentfactForm ADV
← JOSEPH LEE MOSESAdvisorregistration: current employment
Aug 9, 2023 to presentfactForm ADV
← ALEXANDER RABINOVICHAdvisorregistration: current employment
Aug 8, 2023 to presentfactForm ADV
← DENNIS MONOHANAdvisorregistration: current employment
Aug 8, 2023 to presentfactForm ADV
← CHLOE ANNE LEITZKEAdvisorregistration: current employment
Aug 8, 2023 to presentfactForm ADV
← IAN JAMES ZINDELAdvisorregistration: current employment
Aug 8, 2023 to presentfactForm ADV
← Philip SotoAdvisorregistration: previous registration
Jan 15, 2026 to Feb 2, 2026factForm ADV
← Daniel Barrett HennigAdvisorregistration: previous registration
Aug 8, 2023 to Apr 17, 2024factForm ADV
← Terrence Patrick HawkinsAdvisorregistration: previous registration
Aug 8, 2023 to Mar 13, 2024factForm ADV
← DANIEL CHRISTOPHER GORMANAdvisorregistration: previous registration
Aug 8, 2023 to Oct 9, 2023factForm ADV

Owns (1)

← SADZEWICZ, GERY, JOSEPHOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 16, 2023 to Oct 31, 2024factForm ADV

Controls (7)

← WARREN, CHRISTOPHER, CHURCHMANOwnerHEAD OF ASSET & WEALTH MANAGEMENT, ownership code NA, individual
Oct 31, 2024 to Oct 31, 2024factForm ADV
← MONOHAN, DENNISOwnerHEAD OF INVESTMENT SOLUTIONS, ownership code NA, individual
Oct 31, 2024 to Oct 31, 2024factForm ADV
← BARSEMA, JASON, MOwnerOWNER, ownership code D, individual
Mar 16, 2023 to Oct 31, 2024factForm ADV
← KULATHAKA, SUNNYOwnerOWNER, ownership code D, individual
May 1, 2023 to Oct 31, 2024factForm ADV
← KULATHAKAL, ELIZABETH, SUNNYOwnerOWNER, ownership code D, individual
May 1, 2023 to Oct 31, 2024factForm ADV
← HALO INVESTING, INC.OwnerMEMBER, ownership code E, domestic entity
Mar 16, 2023 to Oct 31, 2024factForm ADV
← KULATHAKAL HOLDINGSOwnerOWNER, ownership code D, domestic entity
May 1, 2023 to Oct 31, 2024factForm ADV

Moved with (1)

← ROTHSCHILD WEALTH LLCRegistered adviser9 advisors, team lift out, same day
Aug 9, 2023 to Aug 18, 2023factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Feb 2, 2026
Advisor changed firm
Philip Soto left Halo Investment Services, Llc for Cetera Investment Advisers Llc (registered 2026-04-09)
Form ADVobserved 5 days ago
Occurred
Oct 31, 2024
Control person joined
Churchman Christopher Warren (Head Of Asset & Wealth Management) appeared on Schedule A of Halo Investment Services, Llc
Form ADVobserved 5 days ago
Occurred
Oct 31, 2024
Control person joined
Dennis Monohan (Head Of Investment Solutions) appeared on Schedule A of Halo Investment Services, Llc
Form ADVobserved 5 days ago
Occurred
Jun 20, 2024
Control person left
Thomas Frank Madalone (Chief Executive Officer) no longer on Schedule A of Halo Investment Services, Llc (listed 2024-04-29, absent 2024-06-20)
Form ADVobserved 5 days ago
Occurred
Apr 17, 2024
Advisor changed firm
Daniel Barrett Hennig left Halo Investment Services, Llc for Audent Global Asset Management, Llc (registered 2024-10-22)
Form ADVobserved 5 days ago
Occurred
Apr 9, 2024
Control person left
Regis Edward Condon (Ceo) no longer on Schedule A of Halo Investment Services, Llc (listed 2024-03-29, absent 2024-04-09)
Form ADVobserved 5 days ago
Occurred
Mar 13, 2024
Advisor changed firm
Terrence Patrick Hawkins left Halo Investment Services, Llc for Trajan Wealth, L.L.C. (registered 2024-06-06)
Form ADVobserved 5 days ago
Occurred
Oct 9, 2023
Advisor changed firm
Daniel Christopher Gorman left Halo Investment Services, Llc for Orion Portfolio Solutions, Llc (registered 2024-06-28)
Form ADVobserved 5 days ago
Occurred
Aug 17, 2023
Control person left
David Tyler Qualio (Member) no longer on Schedule A of Halo Investment Services, Llc (listed 2023-08-08, absent 2023-08-17)
Form ADVobserved 5 days ago
Occurred
Aug 9, 2023
Team lift-out
9 advisors left Rothschild Wealth LLC (Chicago, IL) for Halo Investment Services, LLC on the same day
Form ADVobserved 5 days ago
9 advisors
Occurred
May 1, 2023
Control person joined
Sunny Kulathaka (Owner) appeared on Schedule A of Halo Investment Services, Llc
Form ADVobserved 5 days ago
Occurred
May 1, 2023
Control person joined
Sunny Elizabeth Kulathakal (Owner) appeared on Schedule A of Halo Investment Services, Llc
Form ADVobserved 5 days ago
Occurred
Mar 16, 2023
First Form ADV filing
Halo Investment Services, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Show 1 bookkeeping events

Occurred
Mar 29, 2024
Halo Investment Services, Llc reported 15 state-registered advisory representatives, up from 2 (2024-03-18 to 2024-03-29)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7b19e2a7-4a7f-818e-2553-8d45249ed18d
First observed: Mar 16, 2023
Last observed: Sep 1, 2026 19 days 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.

HALO INVESTMENT SERVICES, LLC

CRD 325613

MANHASSET, NY

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:7b19e2a7-4a7f-818e-2553-8d45249ed18d

Data as of Sep 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:44 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

ALEXANDER RABINOVICH

n/a

CHICAGO, IL | MANHASSET, NY

yes

DENNIS MONOHAN

n/a

MANHASSET, NY | CHICAGO, IL

CHLOE ANNE LEITZKE

n/a

CHICAGO, IL | MANHASSET, NY

yes

IAN JAMES ZINDEL

n/a

CHICAGO, IL | MANHASSET, NY

yes

JOSEPH LEE MOSES

n/a

LONE TREE, CO | MANHASSET, NY

yes

CHRISTOPHER JOHN SULLIVAN

n/a

MANHASSET, NY | ALISO VIEJO, CA

yes

FRANK THOMAS MADALONE

n/a

MANHASSET, NY | FAIR HAVEN, NJ

yes

COLIN MICHAEL EDWARD BIEBEL

n/a

MANHASSET, NY | CHICAGO, IL

n/a

yes

Cameron S Grogan

n/a

MANHASSET, NY | CHICAGO, IL

yes

CHRISTOPHER ROBERT VIRGILIO

n/a

CHICAGO, IL | MANHASSET, NY

yes

SAM CLINTON PRICE

n/a

MANHASSET, NY | CHICAGO, IL

yes

CHRISTOPHER CHURCHMAN WARREN

n/a

Celebration, FL | MANHASSET, NY

n/a

yes

GREGORY THOMAS DONOHOE

n/a

FLORENCE, NJ | MANHASSET, NY

yes

Gerard John Vanderzanden

Chartered Financial Consultant

MANHASSET, NY | DUBLIN, CA

yes

COLLEEN M STOCKENBERG

n/a

MANHASSET, NY | Webster Grove, MO

yes

MEGHAN CATHLEEN HAYES

n/a

New York, NY | MANHASSET, NY

n/a

yes

JEREMY ALEX POPPER

n/a

MANHASSET, NY | Chicago, IL

n/a

yes

KEVIN DOYLE

n/a

LaGrange, IL | MANHASSET, NY

n/a

yes

LAURIN ELIZABETH STARCK

Chartered Financial Analyst

MANHASSET, NY | Northbrook, IL

yes

Benjamin Theodore Hammond

n/a

Chicago, IL | MANHASSET, NY

n/a

yes

Scott Thomas Watson

n/a

Chicago, IL | MANHASSET, NY

n/a

Emmanuel Jacob Nager

n/a

MANHASSET, NY | Chicago, IL

n/a

Grant Woodcock

n/a

MANHASSET, NY | Estero, FL

n/a

JACK CUSHING THOMS

n/a

MANHASSET, NY | Chicago, IL

n/a

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BARSEMA, JASON, M

Owner

yes

03/2018

Mar 16, 2023

Oct 31, 2024

HALO INVESTING, INC.

Member

yes

07/2023

Mar 16, 2023

Oct 31, 2024

KULATHAKA, SUNNY

Owner

yes

03/2018

May 1, 2023

Oct 31, 2024

KULATHAKAL HOLDINGS

Owner

yes

03/2018

May 1, 2023

Oct 31, 2024

KULATHAKAL, ELIZABETH, SUNNY

Owner

yes

03/2018

May 1, 2023

Oct 31, 2024

MONOHAN, DENNIS

HEAD OF INVESTMENT SOLUTIONS

yes

10/2024

Oct 31, 2024

WARREN, CHRISTOPHER, CHURCHMAN

HEAD OF ASSET & WEALTH MANAGEMENT

yes

10/2024

Oct 31, 2024

SADZEWICZ, GERY, JOSEPH

CHIEF COMPLIANCE OFFICER

02/2023

Mar 16, 2023

Oct 31, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

HALO SECURITIES, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Chicago

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 24, 2026

$60.0M

n/a

2024

Mar 31, 2025

$32.6M

n/a

2023

Mar 29, 2024

$31.2M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

4.2%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$75.2M

$32.6M

130.4%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

ROTHSCHILD WEALTH LLC

Aug 9, 2023

Aug 18, 2023

OAKBROOK, IL

Team lift out

RIA to new firm

35.7%