DFX Intelligence

Data Factory

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

HUB INTERNATIONAL INVESTMENT ADVISORY SERVICES INC.

CRD 290090

CONCORD, CA

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:c9b8ecad-34aa-840c-01d6-11f3cfbd5eea

Data as of Mar 30, 2021 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 24
Dated events: 12
On other graphs: 1
Observed: Sep 18, 2017 to Mar 30, 2021
16 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

HUB International Investment Advisory Services Inc.

Investment consultant · shared crd

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: $692MItem 5.F on the latest filing (2021-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
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: 0
Employees: 5
Advisory employees: 5
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 31
SEC number: 801-111879
CRD: 290090
Filings on the tape: 16
First filed: Sep 18, 2017
Latest filed: Mar 30, 2021
Organised: Corporation, Delaware

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
BARONE, MICHAEL, JOSEPH	Director	Na	yes	09/2017	Sep 26, 2017	Mar 30, 2021
CAESAR, DARREN, DENNIS	Director	Na	yes	09/2017	Sep 18, 2017	Mar 30, 2021
DENOYIOR, JOSEPH, FREDRICK	President	Na	yes	02/2021	Mar 18, 2021	Mar 30, 2021
HOCKEY INTERMEDIATE INC.	Shareholder	E	yes	10/2013	Sep 18, 2017	Mar 30, 2021
HOCKEY INVESTMENTS L.P.	LIMITED PARTNER	E	yes	10/2013	Sep 18, 2017	Mar 30, 2021
HOCKEY INVESTMENTS L.P.	MANAGING MEMBER	E	yes	10/2013	Sep 18, 2017	Mar 30, 2021
HOCKEY PARENT HOLDINGS GP, LLC	GENERAL PARTNER	F	yes	10/2013	Sep 18, 2017	Mar 30, 2021
HOCKEY PARENT HOLDINGS L.P.	Shareholder	E	yes	10/2013	Sep 18, 2017	Mar 30, 2021
HOCKEY PARENT INC.	Shareholder	E	yes	10/2013	Sep 18, 2017	Mar 30, 2021
HUB INTERNATIONAL LIMITED	SOLE SHAREHOLDER	E	yes	09/2017	Sep 18, 2017	Mar 30, 2021
MAYS, ELISABETH, MARIE	CHIEF COMPLIANCE OFFICER	Na	yes	09/2017	Sep 18, 2017	Mar 30, 2021
McGrath, John, Patrick	Director	Na	yes	09/2017	Sep 26, 2017	Mar 30, 2021
Sokolic, Adam	VICE PRESIDENT/COO	Na	yes	01/2020	Mar 29, 2020	Mar 30, 2021

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
GLOBAL RETIREMENT PARTNERS LLC	n/a	Institutional manager	$170B	N	yes	n/a
SHERIDAN ROAD ADVISORS, LLC	n/a	Former SEC adviser	$12B	N	yes	n/a
RPA FINANCIAL, LLC	n/a	Institutional manager	$11B	N	yes	n/a
SILVERSTONE ASSET MANAGEMENT INC	n/a	Former SEC adviser	$2.1B	N	yes	n/a
HUB INTERNATIONAL INVESTMENT SERVICES INC.	n/a	n/a	n/a	N	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
Houston	TX	United States	3	yes
Dallas	TX	United States	2	no

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
2020	Mar 30, 2021	$692M	$0	5	5	2	n/a	n/a
2019	Mar 29, 2020	$2.8B	$0	7	7	3	n/a	n/a
2018	Mar 31, 2019	$643M	$0	5	2	4	n/a	n/a
2017	Mar 29, 2018	n/a	n/a	5	5	1	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
2020	$692M	$2.8B	-75.2%	n/a	n/a	5	7	2	3

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
GLOBAL RETIREMENT PARTNERS LLC	2	Mar 31, 2022	Jan 4, 2021	CONCORD, CA	Team lift out	Other	50.0%

Relationships

Affiliated with (4)

→ HUB INVESTMENT ADVISORS, INCRegistered adviserother investment adviser, common control
factForm ADV
→ GLOBAL RETIREMENT PARTNERS LLCRegistered adviserother investment adviser, common control
factForm ADV
→ SHERIDAN ROAD ADVISORS, LLC, A HUB INTERNATIONAL COMPANYRegistered adviserother investment adviser, common control
factForm ADV
→ RPA FINANCIAL, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (11)

← MAYS, ELISABETH, MARIEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Sep 18, 2017 to presentfactForm ADV
← DENOYIOR, JOSEPH, FREDRICKOwnerPRESIDENT, ownership code NA, individual
Mar 18, 2021 to presentfactForm ADV
← Sokolic, AdamOwnerVICE PRESIDENT/COO, ownership code NA, individual
Mar 29, 2020 to presentfactForm ADV
← CAESAR, DARREN, DENNISOwnerDIRECTOR, ownership code NA, individual
Sep 18, 2017 to presentfactForm ADV
← BARONE, MICHAEL, JOSEPHOwnerDIRECTOR, ownership code NA, individual
Sep 26, 2017 to presentfactForm ADV
← McGrath, John, PatrickOwnerDIRECTOR, ownership code NA, individual
Sep 26, 2017 to presentfactForm ADV
← HOCKEY INTERMEDIATE INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Sep 18, 2017 to presentfactForm ADV
← HOCKEY INVESTMENTS L.P.OwnerMANAGING MEMBER, ownership code E, domestic entity
Sep 18, 2017 to presentfactForm ADV
← HOCKEY PARENT HOLDINGS GP, LLCOwnerGENERAL PARTNER, ownership code F, domestic entity
Sep 18, 2017 to presentfactForm ADV
← HOCKEY PARENT HOLDINGS L.P.OwnerSHAREHOLDER, ownership code E, domestic entity
Sep 18, 2017 to presentfactForm ADV
← HUB INTERNATIONAL LIMITEDOwnerSOLE SHAREHOLDER, ownership code E, domestic entity
Sep 18, 2017 to presentfactForm ADV

Registered with (6)

← Elisabeth M MaysAdvisorregistration: previous registration
Sep 16, 2019 to Mar 31, 2022factForm ADV
← Janine Jefferson MooreAdvisorregistration: previous registration
Apr 5, 2019 to Mar 31, 2022factForm ADV
← Darrell Wayne EllisorAdvisorregistration: previous registration
Apr 5, 2019 to Mar 31, 2022factForm ADV
← Joseph James ConzelmanAdvisorregistration: previous registration
Mar 22, 2019 to Mar 31, 2022factForm ADV
← Patrick James VasicovschiAdvisorregistration: previous registration
Oct 31, 2019 to Jun 4, 2021factForm ADV
← TIMOTHY CHRISTOPHER THURSTONAdvisorregistration: previous registration
Feb 16, 2018 to Apr 5, 2019factForm ADV

Moved with (1)

→ GLOBAL RETIREMENT PARTNERS LLCRegistered adviser2 advisors, team lift out, same day
Mar 31, 2022 to Jan 4, 2021factForm ADV

Dated events

Occurred
Mar 31, 2022
Team lift-out
2 advisors left Hub International Investment Advisory Services Inc. (Concord, CA) for Global Retirement Partners LLC on the same day
Form ADVobserved 4 days ago
2 advisors
Occurred
Mar 31, 2022
Advisor changed firm
Elisabeth M Mays left Hub International Investment Advisory Services Inc. for Sheridan Road Advisors, Llc, A Hub International Company (registered 2019-09-16)
Form ADVobserved 5 days ago
Occurred
Mar 31, 2022
Advisor changed firm
Janine Jefferson Moore left Hub International Investment Advisory Services Inc. for Global Retirement Partners Llc (registered 2021-01-04)
Form ADVobserved 5 days ago
Occurred
Mar 31, 2022
Advisor changed firm
Darrell Wayne Ellisor left Hub International Investment Advisory Services Inc. for Global Retirement Partners Llc (registered 2021-01-04)
Form ADVobserved 5 days ago
Occurred
Mar 31, 2022
Advisor changed firm
Joseph James Conzelman left Hub International Investment Advisory Services Inc. for Global Retirement Partners Llc (registered 2021-01-04)
Form ADVobserved 5 days ago
Occurred
Mar 18, 2021
Control person left
Andrew David Reich (President) no longer on Schedule A of Hub International Investment Advisory Services Inc. (listed 2020-06-09, absent 2021-03-18)
Form ADVobserved 5 days ago
Occurred
Mar 18, 2021
Control person joined
Fredrick Joseph Denoyior (President) appeared on Schedule A of Hub International Investment Advisory Services Inc.
Form ADVobserved 5 days ago
Occurred
Jun 9, 2020
Regulatory AUM changed
Hub International Investment Advisory Services Inc. reported RAUM $696.0M, down 75% from $2.8B (2020-03-29 to 2020-06-09)
Form ADVobserved 5 days ago
$-2.1B
Occurred
Mar 29, 2020
Regulatory AUM changed
Hub International Investment Advisory Services Inc. reported RAUM $2.8B, up 334% from $643.5M (2019-09-16 to 2020-03-29)
Form ADVobserved 5 days ago
$2.1B
Occurred
Mar 29, 2020
Control person joined
Adam Sokolic (Vice President/Coo) appeared on Schedule A of Hub International Investment Advisory Services Inc.
Form ADVobserved 5 days ago
Occurred
Sep 16, 2019
Control person left
Merritt John Albright (Director) no longer on Schedule A of Hub International Investment Advisory Services Inc. (listed 2019-06-20, absent 2019-09-16)
Form ADVobserved 5 days ago
Occurred
Sep 18, 2017
First Form ADV filing
Hub International Investment Advisory Services Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c9b8ecad-34aa-840c-01d6-11f3cfbd5eea
First observed: Sep 18, 2017
Last observed: Mar 30, 2021 66 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.

HUB INTERNATIONAL INVESTMENT ADVISORY SERVICES INC.

CRD 290090

CONCORD, CA

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:c9b8ecad-34aa-840c-01d6-11f3cfbd5eea

Data as of Mar 30, 2021 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:43 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BARONE, MICHAEL, JOSEPH

Director

yes

09/2017

Sep 26, 2017

Mar 30, 2021

CAESAR, DARREN, DENNIS

Director

yes

09/2017

Sep 18, 2017

Mar 30, 2021

DENOYIOR, JOSEPH, FREDRICK

President

yes

02/2021

Mar 18, 2021

Mar 30, 2021

HOCKEY INTERMEDIATE INC.

Shareholder

yes

10/2013

Sep 18, 2017

Mar 30, 2021

HOCKEY INVESTMENTS L.P.

LIMITED PARTNER

yes

10/2013

Sep 18, 2017

Mar 30, 2021

HOCKEY INVESTMENTS L.P.

MANAGING MEMBER

yes

10/2013

Sep 18, 2017

Mar 30, 2021

HOCKEY PARENT HOLDINGS GP, LLC

GENERAL PARTNER

yes

10/2013

Sep 18, 2017

Mar 30, 2021

HOCKEY PARENT HOLDINGS L.P.

Shareholder

yes

10/2013

Sep 18, 2017

Mar 30, 2021

HOCKEY PARENT INC.

Shareholder

yes

10/2013

Sep 18, 2017

Mar 30, 2021

HUB INTERNATIONAL LIMITED

SOLE SHAREHOLDER

yes

09/2017

Sep 18, 2017

Mar 30, 2021

MAYS, ELISABETH, MARIE

CHIEF COMPLIANCE OFFICER

yes

09/2017

Sep 18, 2017

Mar 30, 2021

McGrath, John, Patrick

Director

yes

09/2017

Sep 26, 2017

Mar 30, 2021

Sokolic, Adam

VICE PRESIDENT/COO

yes

01/2020

Mar 29, 2020

Mar 30, 2021

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

GLOBAL RETIREMENT PARTNERS LLC

n/a

Institutional manager

$170B

yes

n/a

SHERIDAN ROAD ADVISORS, LLC

n/a

Former SEC adviser

$12B

yes

n/a

RPA FINANCIAL, LLC

n/a

Institutional manager

$11B

yes

n/a

SILVERSTONE ASSET MANAGEMENT INC

n/a

Former SEC adviser

$2.1B

yes

n/a

HUB INTERNATIONAL INVESTMENT SERVICES INC.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Houston

United States

yes

Dallas

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Mar 30, 2021

$692M

n/a

2019

Mar 29, 2020

$2.8B

n/a

2018

Mar 31, 2019

$643M

n/a

2017

Mar 29, 2018

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$692M

$2.8B

-75.2%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

GLOBAL RETIREMENT PARTNERS LLC

Mar 31, 2022

Jan 4, 2021

CONCORD, CA

Team lift out

Other

50.0%