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.

Former SEC-registered adviser

Hallett Advisors

Former SEC-registered adviserPort Angeles, WashingtonCRD 115970SEC 801-60935IAPD
Legal name Hallett & Associates, P.S.
Latest filing Apr 2, 2019
First filing on the tape Mar 15, 2012 · 17 filings
RAUM
$105M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$99.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$105M as of Mar 13, 2019
Mar 15, 2012$86.3M then
HNW client RAUM$37.0M as of Mar 13, 2019
Feb 5, 2018$25.3M then
State-registered IARs (5.B.3)1 as of Mar 13, 2019
Mar 15, 20120 then
Employees (5.A)1 as of Mar 13, 2019
Feb 19, 20131 then
Private funds: no history
RAUM -15% over the last fiscal year-2.6% a year over threeIARs 2 to 1offices 0 to 1
Practice profile
derived from the filing of Apr 2, 2019; every figure names its basis
RAUM per advisor
$105MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
256derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.2MderivedHNW RAUM over HNW clients
Average account
$131,625derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
5.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-15%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
-1.2%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$62.0M59%
  • High-net-worth individuals$37.0M35%
  • Charitable organizations$5.3M5.1%
  • Pension and profit-sharing plans$426,4470.4%
Individual clients
225reported
HNW clients
31reported
Pension plan clients
n/areported
Charitable clients
11reported
Accounts
796reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Dennis James Hallett · President, Chief Compliance Officercontrol
    since 01/1999 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • , 1 employees
What changed
consecutive filings, newest first
  • Accounts · 1,035 to 796
    Aug 21, 2018 to Mar 13, 2019
  • Advisory employees · 2 to 1
    Aug 21, 2018 to Mar 13, 2019
  • Charity clients · 8 to 11
    Aug 21, 2018 to Mar 13, 2019
  • HNW clients · 18 to 31
    Aug 21, 2018 to Mar 13, 2019
  • Individual clients · 241 to 225
    Aug 21, 2018 to Mar 13, 2019
  • Employees · 3 to 1
    Aug 21, 2018 to Mar 13, 2019
  • State-registered IARs · 2 to 1
    Aug 21, 2018 to Mar 13, 2019
  • Discretionary RAUM · $124M to $105M
    Aug 21, 2018 to Mar 13, 2019
  • HNW RAUM · $25.3M to $37.0M
    Aug 21, 2018 to Mar 13, 2019
  • Individual RAUM · $75.2M to $62.0M
    Aug 21, 2018 to Mar 13, 2019
  • Pension RAUM · $18.8M to $426,447
    Aug 21, 2018 to Mar 13, 2019
  • RAUM · $124M to $105M
    Aug 21, 2018 to Mar 13, 2019
  • Other offices · 0 to 1
    Feb 5, 2018 to Aug 21, 2018
  • Accounts · 1,002 to 1,035
    Apr 12, 2017 to Feb 5, 2018
  • Charity clients · unset to 8.0
    Apr 12, 2017 to Feb 5, 2018
  • HNW clients · unset to 18.0
    Apr 12, 2017 to Feb 5, 2018
  • Individual clients · unset to 241.0
    Apr 12, 2017 to Feb 5, 2018
  • Employees · 2 to 3
    Apr 12, 2017 to Feb 5, 2018
  • Financial planning clients · 51-100 to 11-25
    Apr 12, 2017 to Feb 5, 2018
  • Other offices · unset to 0.0
    Apr 12, 2017 to Feb 5, 2018
  • Discretionary RAUM · $118M to $124M
    Apr 12, 2017 to Feb 5, 2018
  • HNW RAUM · unset to 25289950.0
    Apr 12, 2017 to Feb 5, 2018
  • Individual RAUM · unset to 75200683.0
    Apr 12, 2017 to Feb 5, 2018
  • Pension RAUM · unset to 18787387.0
    Apr 12, 2017 to Feb 5, 2018
  • RAUM · $118M to $124M
    Apr 12, 2017 to Feb 5, 2018
  • Accounts · 275 to 1,002
    Jun 7, 2016 to Feb 21, 2017
  • Discretionary RAUM · $113M to $118M
    Jun 7, 2016 to Feb 21, 2017
  • RAUM · $113M to $118M
    Jun 7, 2016 to Feb 21, 2017
  • Accounts · 1,146 to 275
    Apr 1, 2015 to Feb 17, 2016
  • Advisory employees · 1 to 2
    Apr 1, 2015 to Feb 17, 2016
  • Employees · 1 to 2
    Apr 1, 2015 to Feb 17, 2016
  • State-registered IARs · 1 to 2
    Apr 1, 2015 to Feb 17, 2016
  • Discretionary RAUM · $117M to $113M
    Apr 1, 2015 to Feb 17, 2016
  • RAUM · $117M to $113M
    Apr 1, 2015 to Feb 17, 2016
  • Discretionary RAUM · $111M to $117M
    Apr 14, 2014 to Mar 10, 2015
  • RAUM · $111M to $117M
    Apr 14, 2014 to Mar 10, 2015
  • Accounts · 1,204 to 1,146
    Jun 17, 2013 to Mar 20, 2014
  • Discretionary RAUM · $102M to $111M
    Jun 17, 2013 to Mar 20, 2014
  • RAUM · $102M to $111M
    Jun 17, 2013 to Mar 20, 2014
  • BD registered reps · 1 to 0
    Feb 19, 2013 to Jun 17, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026