DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Hayek Kallen Investment Management L.L.C.
Latest filing Mar 27, 2026
First filing on the tape Nov 18, 2011 · 26 filings
SEC status approved since Jul 3, 1985
RAUM
$424M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$422M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$212M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$424M as of Mar 27, 2026
Mar 28, 2012$209M then
HNW client RAUM$187M as of Mar 27, 2026
Mar 15, 2018$43.1M then
State-registered IARs (5.B.3)2 as of Mar 27, 2026
Feb 15, 20135 then
Employees (5.A)3 as of Mar 27, 2026
Feb 15, 20135 then
Private funds: no history
RAUM +6.4% over the last fiscal year+8.1% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $212MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 100derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.9MderivedHNW RAUM over HNW clients
- Average account
- $2.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$236M56%
- High-net-worth individuals$187M44%
- Pension and profit-sharing plans$2.3M0.6%
- Individual clients
- 179reported
- HNW clients
- 21reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 201reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Eric Oaks Kallen | Charlottesville, Va | May 7, 2003 | 23 y | 0 |
| Alexander Theo TheodoreCertified Financial Planner | Fairhope, Al | Nov 13, 2019 | 12 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- John Lytle Jones to Strategic Wealth Management Solutions, LLCMay 5, 2023 · RIA to a state-registered adviser
- Marc Andrew Smith to Oars CapitalOct 15, 2012 · Other
- Reuben Frank Stewart to Stewart, Reuben Frank IIIJul 14, 2008 · Other
Joined, latest
- Reuben Frank Stewart from Stewart, Reuben Frank IIIJun 24, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S Margaret Allison · Chief Compliance Officercontrolsince 01/2010 · owns less than 5%
- Oaks Eric Kallen · Membercontrolsince 01/2003 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Fairhope, Al · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Charlottesville, VA1 employees
What changed
consecutive filings, newest first
- Accounts · 209 to 201Apr 22, 2025 to Mar 27, 2026
- HNW clients · 18 to 21Apr 22, 2025 to Mar 27, 2026
- Individual clients · 190 to 179Apr 22, 2025 to Mar 27, 2026
- Discretionary RAUM · $399M to $424MApr 22, 2025 to Mar 27, 2026
- HNW RAUM · $149M to $187MApr 22, 2025 to Mar 27, 2026
- Individual RAUM · $248M to $236MApr 22, 2025 to Mar 27, 2026
- Pension RAUM · $1.9M to $2.3MApr 22, 2025 to Mar 27, 2026
- RAUM · $399M to $424MApr 22, 2025 to Mar 27, 2026
- Accounts · 213 to 209Mar 27, 2024 to Apr 22, 2025
- Charity clients · unset to 0.0Mar 27, 2024 to Apr 22, 2025
- Corporate clients · unset to 0.0Mar 27, 2024 to Apr 22, 2025
- HNW clients · 19 to 18Mar 27, 2024 to Apr 22, 2025
- Financial planning clients · unset to Mar 27, 2024 to Apr 22, 2025
- Discretionary RAUM · $396M to $399MMar 27, 2024 to Apr 22, 2025
- HNW RAUM · $148M to $149MMar 27, 2024 to Apr 22, 2025
- Individual RAUM · $240M to $248MMar 27, 2024 to Apr 22, 2025
- Pension RAUM · $1.7M to $1.9MMar 27, 2024 to Apr 22, 2025
- RAUM · $396M to $399MMar 27, 2024 to Apr 22, 2025
- Accounts · 208 to 213Mar 23, 2023 to Mar 27, 2024
- Charity clients · 1.0 to unsetMar 23, 2023 to Mar 27, 2024
- HNW clients · 15 to 19Mar 23, 2023 to Mar 27, 2024
- Individual clients · 191 to 190Mar 23, 2023 to Mar 27, 2024
- Pension plan clients · 1.0 to unsetMar 23, 2023 to Mar 27, 2024
- Employees · 4 to 3Mar 23, 2023 to Mar 27, 2024
- State-registered IARs · 3 to 2Mar 23, 2023 to Mar 27, 2024
- Discretionary RAUM · $336M to $396MMar 23, 2023 to Mar 27, 2024
- HNW RAUM · $110M to $148MMar 23, 2023 to Mar 27, 2024
- Individual RAUM · $221M to $240MMar 23, 2023 to Mar 27, 2024
- Pension RAUM · $3.9M to $1.7MMar 23, 2023 to Mar 27, 2024
- RAUM · $336M to $396MMar 23, 2023 to Mar 27, 2024
- Accounts · 225 to 208Mar 23, 2022 to Mar 23, 2023
- Charity clients · unset to 1.0Mar 23, 2022 to Mar 23, 2023
- HNW clients · 14 to 15Mar 23, 2022 to Mar 23, 2023
- Individual clients · 206 to 191Mar 23, 2022 to Mar 23, 2023
- Pension plan clients · unset to 1.0Mar 23, 2022 to Mar 23, 2023
- State-registered IARs · 2 to 3Mar 23, 2022 to Mar 23, 2023
- Discretionary RAUM · $387M to $336MMar 23, 2022 to Mar 23, 2023
- HNW RAUM · $115M to $110MMar 23, 2022 to Mar 23, 2023
- Individual RAUM · $266M to $221MMar 23, 2022 to Mar 23, 2023
- Pension RAUM · $3.9M to $3.9MMar 23, 2022 to Mar 23, 2023
Signals
1 dated events
- John Lytle Jones left Hayek Kallen Investment Management L.L.C. for Strategic Wealth Management Solutions, Llc (registered 2025-02-10)May 5, 2023 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 434-465-6565reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 251-928-8999reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/HAYEK-KALLEN-INVESTMENT-MANAGEMENT-LLCreportedpublic record, Form ADV, Sep 17, 2026
- Website
- HAYEKKALLEN.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 251-928-8999reportedpublic record, Form ADV, Mar 27, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $212Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026