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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

HBC FINANCIAL SERVICES, PLLC

CRD 115751

SEATTLE, WA

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:a59413b4-bc93-ae85-a08d-6aa0b9b966a8

Data as of Mar 1, 2024 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 6
On other graphs: 0
Observed: Jan 12, 2012 to Mar 1, 2024
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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $447MItem 5.F on the latest filing (2024-03-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $433M
Private client RAUM: $429MderivedItem 5.D individuals plus high net worth individuals
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 674
Individual clients: 122
High net worth clients: 144
SEC number: 801-63872
CRD: 115751
Filings on the tape: 20
First filed: Jan 12, 2012
Latest filed: Mar 1, 2024
Organised: Limited Liability Company, Washington
Website: advisercpa.com

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
CLAYPOOL, JAMES, B.	Member	C	yes	01/2005	Jan 12, 2012	Mar 1, 2024
GUARD, JAMES, DAYTON	MEMBER AND CHIEF COMPLIANCE OFFICER	C	yes	12/2014	Jan 22, 2013	Mar 1, 2024
Niess, Janon, Lee	Member	C	yes	01/2021	Mar 1, 2021	Mar 1, 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
HARRISON BERKMAN CLAYPOOL & GUARD, PLLC	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
2023	Mar 1, 2024	$447M	$433M	5	4	0	n/a	n/a
2022	Feb 3, 2023	$413M	$397M	5	4	0	n/a	n/a
2021	Feb 2, 2022	$468M	$448M	5	4	0	n/a	n/a
2020	Mar 1, 2021	$398M	$360M	5	4	0	n/a	n/a
2019	Feb 8, 2020	$364M	$331M	5	3	0	n/a	n/a
2018	Feb 6, 2019	$302M	$262M	4	3	0	n/a	n/a
2017	Feb 8, 2018	$309M	$268M	5	3	0	n/a	n/a
2016	Jan 31, 2017	$261M	$241M	5	3	n/a	n/a	n/a
2015	Feb 3, 2016	$231M	$216M	5	3	n/a	n/a	n/a
2014	Jan 22, 2015	$213M	$199M	5	3	n/a	n/a	n/a
2013	Feb 6, 2014	$193M	$185M	5	4	n/a	n/a	n/a
2012	Jan 22, 2013	$153M	$145M	6	4	n/a	n/a	n/a
2011	Jan 12, 2012	$126M	$124M	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
2023	$447M	$413M	8.2%	$398M	4.0%	5	5	0	0

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
COLDSTREAM WEALTH MANAGEMENT	3	Jan 31, 2025	Jan 21, 2025	SEATTLE, WA	Firm absorbed	RIA to RIA	100.0%

Relationships

Controls (3)

← CLAYPOOL, JAMES, B.OwnerMEMBER, ownership code C, individual
Jan 12, 2012 to presentfactForm ADV
← GUARD, JAMES, DAYTONOwnerMEMBER AND CHIEF COMPLIANCE OFFICER, ownership code C, individual
Jan 22, 2013 to presentfactForm ADV
← Niess, Janon, LeeOwnerMEMBER, ownership code C, individual
Mar 1, 2021 to presentfactForm ADV

Registered with (3)

← JAMES B. CLAYPOOLAdvisorregistration: previous registration
Jun 30, 2003 to Jan 31, 2025factForm ADV
← JAMES DAYTON GUARDAdvisorregistration: previous registration
Jul 30, 2008 to Jan 31, 2025factForm ADV
← Erika Swick AllenAdvisorregistration: previous registration
Sep 26, 2020 to Jan 31, 2025factForm ADV

Moved with (1)

→ COLDSTREAM WEALTH MANAGEMENTRegistered adviser3 advisors, firm absorbed, same day
Jan 31, 2025 to Jan 21, 2025factForm ADV

Dated events

Occurred
Feb 3, 2025
Left the SEC roster
Hbc Financial Services, Pllc no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $447.0M)
Form ADVobserved 5 days ago
$447M
Occurred
Jan 31, 2025
Firm absorbed
Hbc Financial Services, Pllc's advisors moved to Coldstream Wealth Management (Seattle, WA): 3 of 3 registered, on the same day
Form ADVobserved 5 days ago
3 advisors
Occurred
Jan 31, 2025
Advisor changed firm
Erika Swick Allen left Hbc Financial Services, Pllc for Coldstream Wealth Management (registered 2025-01-21)
Form ADVobserved 5 days ago
Occurred
Jan 31, 2025
Advisor changed firm
James Dayton Guard left Hbc Financial Services, Pllc for Coldstream Wealth Management (registered 2025-01-21)
Form ADVobserved 5 days ago
Occurred
Jan 31, 2025
Advisor changed firm
James B. Claypool left Hbc Financial Services, Pllc for Coldstream Wealth Management (registered 2025-01-21)
Form ADVobserved 5 days ago
Occurred
Mar 1, 2021
Control person joined
Lee Janon Niess (Member) appeared on Schedule A of Hbc Financial Services, Pllc
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a59413b4-bc93-ae85-a08d-6aa0b9b966a8
First observed: Jan 12, 2012
Last observed: Mar 1, 2024 31 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.

HBC FINANCIAL SERVICES, PLLC

CRD 115751

SEATTLE, WA

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:a59413b4-bc93-ae85-a08d-6aa0b9b966a8

Data as of Mar 1, 2024 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:34 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CLAYPOOL, JAMES, B.

Member

yes

01/2005

Jan 12, 2012

Mar 1, 2024

GUARD, JAMES, DAYTON

MEMBER AND CHIEF COMPLIANCE OFFICER

yes

12/2014

Jan 22, 2013

Mar 1, 2024

Niess, Janon, Lee

Member

yes

01/2021

Mar 1, 2021

Mar 1, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

HARRISON BERKMAN CLAYPOOL & GUARD, PLLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

Mar 1, 2024

$447M

$433M

n/a

2022

Feb 3, 2023

$413M

$397M

n/a

2021

Feb 2, 2022

$468M

$448M

n/a

2020

Mar 1, 2021

$398M

$360M

n/a

2019

Feb 8, 2020

$364M

$331M

n/a

2018

Feb 6, 2019

$302M

$262M

n/a

2017

Feb 8, 2018

$309M

$268M

n/a

2016

Jan 31, 2017

$261M

$241M

n/a

2015

Feb 3, 2016

$231M

$216M

n/a

2014

Jan 22, 2015

$213M

$199M

n/a

2013

Feb 6, 2014

$193M

$185M

n/a

2012

Jan 22, 2013

$153M

$145M

n/a

2011

Jan 12, 2012

$126M

$124M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

$447M

$413M

8.2%

$398M

4.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

COLDSTREAM WEALTH MANAGEMENT

Jan 31, 2025

Jan 21, 2025

SEATTLE, WA

Firm absorbed

RIA to RIA

100.0%