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
Hamrick Investment Counsel, LLC
Latest filing Apr 9, 2026
First filing on the tape Feb 6, 2012 · 25 filings
SEC status approved since Mar 19, 2014
RAUM
$299M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$279M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$99.7M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$299M as of Apr 9, 2026
Feb 6, 2012$76.3M then
HNW client RAUM$257M as of Apr 9, 2026
Mar 2, 2018$117M then
State-registered IARs (5.B.3)2 as of Apr 9, 2026
Feb 6, 20120 then
Employees (5.A)2 as of Apr 9, 2026
Mar 2, 20152 then
Private funds: no history
RAUM +11% over the last fiscal year+8.7% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Apr 9, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $99.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.7MderivedHNW RAUM over HNW clients
- Average account
- $958,820derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +10%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$257M86%
- Individuals$22.1M7.4%
- Charitable organizations$20.5M6.9%
- Corporations and businesses$5390.0%
- Individual clients
- 44reported
- HNW clients
- 55reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 312reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Todd Martin Wathey | Seattle, Wa | Oct 21, 2011 | 22 y | 2 |
| Roy Albert HamrickChartered Financial Analyst | Seattle, Wa | Apr 12, 2012 | 39 y | 0 |
| Douglas Phillip HaackCertified Financial Planner | Seattle, Wa | Nov 1, 2020 | 31 y | 4 |
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
- Michael Edmond Schmid to Capital Bank And Trust CompanyNov 28, 2012 · Other
Joined, latest
- Douglas Phillip Haack from Cornerstone Advisors IncNov 1, 2020 · RIA to RIA
- Todd Martin Wathey from Pacific Portfolio Consulting, LLCOct 21, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Phillip Douglas Haack · Membercontrolsince 01/2022 · owns 10% to 25%
- Martin Todd Wathey · Member, Chief Compliance Officercontrolsince 01/2019 · 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 |
|---|---|---|---|---|---|
| Seattle, Wa · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 277 to 312Mar 20, 2025 to Mar 31, 2026
- HNW clients · 53 to 55Mar 20, 2025 to Mar 31, 2026
- Individual clients · 37 to 44Mar 20, 2025 to Mar 31, 2026
- Discretionary RAUM · $269M to $299MMar 20, 2025 to Mar 31, 2026
- HNW RAUM · $229M to $257MMar 20, 2025 to Mar 31, 2026
- Individual RAUM · $18.1M to $22.1MMar 20, 2025 to Mar 31, 2026
- RAUM · $269M to $299MMar 20, 2025 to Mar 31, 2026
- Accounts · 267 to 277Mar 25, 2024 to Mar 20, 2025
- HNW clients · 51 to 53Mar 25, 2024 to Mar 20, 2025
- Individual clients · 31 to 37Mar 25, 2024 to Mar 20, 2025
- Financial planning clients · 26-50 to 26-50Mar 25, 2024 to Mar 20, 2025
- Discretionary RAUM · $263M to $269MMar 25, 2024 to Mar 20, 2025
- HNW RAUM · $221M to $229MMar 25, 2024 to Mar 20, 2025
- Individual RAUM · $16.6M to $18.1MMar 25, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $608,992 to $0Mar 25, 2024 to Mar 20, 2025
- RAUM · $263M to $269MMar 25, 2024 to Mar 20, 2025
- Accounts · 280 to 267Mar 28, 2023 to Mar 25, 2024
- HNW clients · 49 to 51Mar 28, 2023 to Mar 25, 2024
- Individual clients · 34 to 31Mar 28, 2023 to Mar 25, 2024
- Pension plan clients · 1 to 0Mar 28, 2023 to Mar 25, 2024
- Discretionary RAUM · $232M to $263MMar 28, 2023 to Mar 25, 2024
- HNW RAUM · $183M to $221MMar 28, 2023 to Mar 25, 2024
- Individual RAUM · $18.7M to $16.6MMar 28, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $576,672 to $608,992Mar 28, 2023 to Mar 25, 2024
- Pension RAUM · 6408712.0 to unsetMar 28, 2023 to Mar 25, 2024
- RAUM · $233M to $263MMar 28, 2023 to Mar 25, 2024
- Accounts · 260 to 280Mar 25, 2022 to Mar 28, 2023
- Advisory employees · 3 to 2Mar 25, 2022 to Mar 28, 2023
- HNW clients · 54 to 49Mar 25, 2022 to Mar 28, 2023
- Individual clients · 24 to 34Mar 25, 2022 to Mar 28, 2023
- Employees · 3 to 2Mar 25, 2022 to Mar 28, 2023
- State-registered IARs · 3 to 2Mar 25, 2022 to Mar 28, 2023
- Discretionary RAUM · $273M to $232MMar 25, 2022 to Mar 28, 2023
- HNW RAUM · $225M to $183MMar 25, 2022 to Mar 28, 2023
- Individual RAUM · $15.1M to $18.7MMar 25, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $1.2M to $576,672Mar 25, 2022 to Mar 28, 2023
- Pension RAUM · $7.5M to $6.4MMar 25, 2022 to Mar 28, 2023
- RAUM · $274M to $233MMar 25, 2022 to Mar 28, 2023
- Accounts · 245 to 260Oct 15, 2021 to Mar 25, 2022
- Charity clients · unset to 1.0Oct 15, 2021 to Mar 25, 2022
Signals
3 dated events
- Albert Roy Hamrick (Member) no longer on Schedule A of Hamrick Investment Counsel, Llc (listed 2021-10-15, absent 2022-03-25)Mar 25, 2022 · Control person left · inference
- Phillip Douglas Haack (Member) appeared on Schedule A of Hamrick Investment Counsel, LlcMar 25, 2022 · Control person joined · fact
- Hamrick Investment Counsel, Llc filed its initial SEC registration (Form ADV)Mar 6, 2014 · First SEC registration · 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 email
- office@hamrickinvestment.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 206-441-9911reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- HAMRICKINVESTMENT.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 206-441-9911reportedpublic record, Form ADV, Apr 9, 2026
- Team page
- hamrickinvestment.com/our-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
- $99.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026