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

Strategy Asset Managers L.L.C.

Independent wealth managerPasadena, CaliforniaCRD 109939SEC 801-60049website IAPD

Latest filing Jun 11, 2026

First filing on the tape Apr 10, 2012 · 51 filings

SEC status approved since Feb 23, 2001

RAUM

$930M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

89%

$824M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$84.6M

derived; firm RAUM over IAPD count

Employees

10 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

51 filings and snapshots on the tape

RAUM$930M as of Jun 11, 2026

Apr 10, 2012$478M then

HNW client RAUM$668M as of Jun 11, 2026

Mar 29, 2018$67.6M then

State-registered IARs (5.B.3)10 as of Jun 11, 2026

Apr 10, 20120 then

Employees (5.A)10 as of Jun 11, 2026

Mar 22, 20135 then

Private funds2 as of Jun 11, 2026

Mar 20, 20241 then

RAUM +25% over the last fiscal year+16% a year over threeIARs 9 to 10

Practice profile

derived from the filing of Jun 11, 2026; every figure names its basis

Archetypes, each a printed rule

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
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
RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)

RAUM per advisor: $84.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 54derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.1MderivedHNW RAUM over HNW clients
Average account: $637,913derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 9.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 0.9derivedItem 5.A over advisors
Advisors per office: 3.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year: +25%derivedbetween the last two annual amendments
Advisor growth, one year: +11%derivedItem 5.B.3 between annual amendments
Client growth, one year: +13%derived
Compensation: percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Custody: $54.3M, 71 clientsreportedItem 9.A
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)
has custody of client cash or bank accounts (9.A.1.a)
a related person has custody of client cash (9.B.1.a)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$668M72%
Individuals$156M17%
Pension and profit-sharing plans$59.5M6.4%
Charitable organizations$27.5M3.0%
Pooled investment vehicles$11.4M1.2%
Corporations and businesses$8.0M0.9%

Individual clients: 384reported
HNW clients: 214reported
Pension plan clients: 12reported
Charitable clients: 13reported
Accounts: 1,458reported
Financial planning clients: 101-250reported
Wrap fee programs: noreported
Custody of client assets: $54.3M for 71 clientsreported
Compensation: % of AUM, fixed, hourly, performancereported
Class basis: private_client_share=0.89 fund_share=0.01 institutional_share=0.09 related_bd=false related_bank=false bd_reps=2.0derived

Advisors registered through the firm

11 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
Thomas Woodward Hulick	Pasadena, Ca	May 4, 2018	31 y	7
Joseph Peter Traba	Pasadena, Ca	Feb 3, 2020	29 y	4
Gregory Richard Wertz	Westport, Ct	Dec 2, 2020	32 y	0
David Jin Kyu Chong	Pasadena, Ca	Dec 24, 2021	30 y	5
William Hamelin	Pasadena, Ca	May 16, 2022	11 y	0
Victor Martinez	Pasadena, Ca	Jan 11, 2024	16 y	3
Alexander Henry HagstromChartered Financial Analyst	Pasadena, Ca	Jan 1, 2025	13 y	2
Liam Thomas Critchett	Pasadena, Ca	Jul 7, 2025	11 y	0
Harold Bowler Parker	Pasadena, Ca	Jan 5, 2026	43 y	3
Israel Damon Stanley	El Cajon, Ca	Mar 2, 2026	11 y	0
David Mac Cormick Carter	Redondo Beach, Ca	May 6, 2026	32 y	0

Advisor movement

0 left, 1 joined in 12 months

net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount3 left over 36 months

Left, latest

Timothy James Mcneely to Farther
Nov 8, 2024 · RIA to RIA
James Cawley to Cetera Investment Advisers LLC
Jul 22, 2024 · RIA to affiliated broker-dealer or bank
Richard Kinkade Jr. to UBS Financial Services Inc.
Mar 7, 2024 · RIA to wirehouse
Clarissa Sandrine Tawel to Tru Independence Asset Management 2, LLC
Dec 9, 2021 · RIA to RIA
Gregory S Markel to Morgan Stanley
Jan 3, 2020 · RIA to wirehouse
Rainbow Brooks to D.A. Davidson & Co.
Oct 21, 2019 · RIA to RIA
Bruce John Jensen to Elevage Partners, LLC
Feb 15, 2019 · RIA to RIA

Joined, latest

Harold Bowler Parker from Holly Street Wealth Advisors
Jan 5, 2026 · RIA to RIA
Alexander Henry Hagstrom from Holly Street Wealth Advisors
Jan 1, 2025 · RIA to RIA
Timothy James Mcneely from Dynamic
Mar 28, 2024 · RIA to RIA
Victor Martinez from Morgan Stanley
Jan 11, 2024 · Wirehouse to independent RIA
James Cawley from Equitable Advisors, LLC
Feb 7, 2023 · Affiliated broker-dealer or bank to independent RIA
Richard Kinkade Jr. from UBS Financial Services Inc.
Jul 12, 2021 · Wirehouse to independent RIA
Joseph Peter Traba from Stonemark Wealth Management
Feb 3, 2020 · RIA to RIA
David Jin Kyu Chong from Holly Street Wealth Advisors
May 24, 2019 · RIA to RIA
Clarissa Sandrine Tawel from Holly Street Wealth Advisors
Apr 1, 2019 · RIA to RIA
Thomas Woodward Hulick from Holly Street Wealth Advisors
May 4, 2018 · RIA to RIA
Gregory S Markel from Holly Street Wealth Advisors
Apr 10, 2018 · RIA to RIA
Rainbow Brooks from Holly Street Wealth Advisors
Jan 3, 2017 · Other
David William Cook from Stone Toro Investment Advisers
Jun 9, 2016 · Other
Bruce John Jensen from Holly Street Wealth Advisors
Jan 20, 2016 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

5 joined from Holly Street Wealth Advisors
Jan 2, 2020 · Pasadena, Ca · Firm absorbed

Teams out Teams in

Private funds

2 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
Hcm-Sof I, LLC	Other Private Fund	$6.0M	6	Nov 30, 2023
Hcm - Sof II, LLC		$5.4M	57	Jun 11, 2026

Owners and control persons

Schedule A and B, latest filing

Woodward Thomas Hulick · Chief Compliance Officercontrol
since 08/2018 · owns less than 5%
Woodward Thomas Hulick · Managing Membercontrol
since 03/2013 · owns 25% to 50% of Hulick Capital Management LLC

Entity owners

Hulick Capital Management LLC · Owner
direct · owns 75% or more

Related persons

Schedule D 7.A

Strategy Asset Insurance Services, LLC
real estaten

Advisers that list Strategy Asset Managers L.L.C. as a related person

167343 n

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Pasadena, Ca · principal	10	3	0
Coral Gables, Fl	0	0	0

Offices

Schedule D 1.F, the 25 largest

Westport, CT2 employees
Woodcliff Lake, NJ1 employees

What changed

consecutive filings, newest first

Accounts · 1,099 to 1,458
Apr 30, 2025 to Mar 31, 2026
Advisory employees · 9 to 10
Apr 30, 2025 to Mar 31, 2026
Charity clients · 12 to 13
Apr 30, 2025 to Mar 31, 2026
Corporate clients · 10 to 8
Apr 30, 2025 to Mar 31, 2026
HNW clients · 181 to 214
Apr 30, 2025 to Mar 31, 2026
Individual clients · 350 to 384
Apr 30, 2025 to Mar 31, 2026
Pension plan clients · 17 to 12
Apr 30, 2025 to Mar 31, 2026
Assets in custody · $34.1M to $54.3M
Apr 30, 2025 to Mar 31, 2026
Employees · 9 to 10
Apr 30, 2025 to Mar 31, 2026
State-registered IARs · 9 to 10
Apr 30, 2025 to Mar 31, 2026
Discretionary RAUM · $742M to $930M
Apr 30, 2025 to Mar 31, 2026
HNW RAUM · $531M to $668M
Apr 30, 2025 to Mar 31, 2026
Individual RAUM · $118M to $156M
Apr 30, 2025 to Mar 31, 2026
Pension RAUM · $54.5M to $59.5M
Apr 30, 2025 to Mar 31, 2026
Pooled vehicle RAUM · $6.4M to $11.4M
Apr 30, 2025 to Mar 31, 2026
RAUM · $742M to $930M
Apr 30, 2025 to Mar 31, 2026
Wrap assets (manager) · 0.0 to unset
Apr 30, 2025 to Mar 31, 2026
Wrap assets (sponsor) · 0.0 to unset
Apr 30, 2025 to Mar 31, 2026
Accounts · 975 to 1,099
Sep 18, 2024 to Apr 30, 2025
Advisory employees · 6 to 9
Sep 18, 2024 to Apr 30, 2025
BD registered reps · 1 to 2
Sep 18, 2024 to Apr 30, 2025
Corporate clients · 9 to 10
Sep 18, 2024 to Apr 30, 2025
HNW clients · 170 to 181
Sep 18, 2024 to Apr 30, 2025
Individual clients · 266 to 350
Sep 18, 2024 to Apr 30, 2025
Pension plan clients · unset to 17.0
Sep 18, 2024 to Apr 30, 2025
Pooled vehicle clients · 1 to 2
Sep 18, 2024 to Apr 30, 2025
Assets in custody · $30.1M to $34.1M
Sep 18, 2024 to Apr 30, 2025
Employees · 12 to 9
Sep 18, 2024 to Apr 30, 2025
Financial planning clients · 0 to 101-250
Sep 18, 2024 to Apr 30, 2025
State-registered IARs · 8 to 9
Sep 18, 2024 to Apr 30, 2025
Private funds · 1 to 2
Sep 18, 2024 to Apr 30, 2025
Discretionary RAUM · $631M to $742M
Sep 18, 2024 to Apr 30, 2025
HNW RAUM · $470M to $531M
Sep 18, 2024 to Apr 30, 2025
Individual RAUM · $74.1M to $118M
Sep 18, 2024 to Apr 30, 2025
Pension RAUM · $34.7M to $54.5M
Sep 18, 2024 to Apr 30, 2025
Pooled vehicle RAUM · $460,000 to $6.4M
Sep 18, 2024 to Apr 30, 2025
RAUM · $631M to $742M
Sep 18, 2024 to Apr 30, 2025
Accounts · 951 to 975
Mar 4, 2024 to Mar 20, 2024
Advisory employees · 8 to 6
Mar 4, 2024 to Mar 20, 2024
Charity clients · 11 to 12
Mar 4, 2024 to Mar 20, 2024

Signals

5 dated events

Strategy Asset Managers L.L.C. reported RAUM $930.1M, up 25% from $741.5M (2025-04-30 to 2026-03-31)
Mar 31, 2026 · RAUM change · derived
Timothy James Mcneely left Strategy Asset Managers L.L.C. for Farther (registered 2024-10-18)
Nov 8, 2024 · Advisor changed firm · fact
James Cawley left Strategy Asset Managers L.L.C. for Cetera Investment Advisers Llc (registered 2024-11-29)
Jul 22, 2024 · Advisor changed firm · fact
Richard Kinkade Jr. left Strategy Asset Managers L.L.C. for Ubs Financial Services Inc. (registered 2024-04-08)
Mar 7, 2024 · Advisor changed firm · fact
John Bruce Jensen (Chief Operating Officer, Co-Chief Investment Officer) no longer on Schedule A of Strategy Asset Managers L.L.C. (listed 2019-07-16, absent 2019-07-17)
Jul 17, 2019 · Control person left · inference

Across DFX

shared identifiers only, never a name match

Strategy Asset Managers L.L.C. · Venture Capital
shared crd · organization

How to reach

public business contact points only, each with its source

Business phone: 201-822-3006reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 201-822-3011reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 303-797-9080reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile: linkedin.com/company/strategy-asset-managers-llc-reportedpublic record, Form ADV, Sep 17, 2026
Website: STRATEGYASSETMANAGERS.COMreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone: 626-657-0559reportedpublic record, Form ADV, Jun 11, 2026
Contact form: strategyassetmanagers.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
Team page: strategyassetmanagers.com/teamreportedpublished by the firm, firm site, Sep 15, 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: $84.6Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026