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

Hooker & Holcombe Investment Advisors, Inc.

Former SEC-registered adviserGlastonbury, ConnecticutCRD 125791SEC 801-61958IAPD
Latest filing Oct 6, 2023
First filing on the tape Mar 16, 2012 · 32 filings
RAUM
$478M
reported, Item 5.F
Discretionary
51%
of RAUM
Private clients
2.3%
$10.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$478M as of Mar 30, 2023
Mar 16, 2012$236M then
HNW client RAUM$10.8M as of Mar 30, 2023
Mar 16, 2018$19.7M then
State-registered IARs (5.B.3)5 as of Mar 30, 2023
Mar 16, 20120 then
Employees (5.A)7 as of Mar 30, 2023
Mar 13, 20137 then
Private funds: no history
RAUM -12% over the last fiscal year-7.2% a year over threeIARs 6 to 5
Practice profile
derived from the filing of Oct 6, 2023; every figure names its basis
RAUM per advisor
$95.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
1derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.2MderivedHNW RAUM over HNW clients
Average account
$6.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
51%derivedof RAUM
Institutional
98%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-12%derivedbetween the last two annual amendments
Advisor growth, one year
-17%derivedItem 5.B.3 between annual amendments
Client growth, one year
-17%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, pension consulting, selection of other advisers, publications, educational seminars, 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
  • 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)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$261M55%
  • State and municipal entities$206M43%
  • High-net-worth individuals$10.8M2.3%
Individual clients
0reported
HNW clients
5reported
Pension plan clients
21reported
Charitable clients
0reported
Accounts
72reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Brian Kulik · Secretary And Treasurercontrol
    since 06/2021 · owns less than 5%
  • Karl Rodger Metzger · President, Chief Investment Officer, Chairmancontrol
    since 01/2012 · owns less than 5%
  • E Pamela Minish · Director
    since 06/2020 · owns less than 5%
  • Richard Sych · Director
    since 07/2011 · owns less than 5%
Entity owners
  • Hooker & Holcombe, Inc. · Sole Shareholder
    direct · owns 75% or more
Related persons
Schedule D 7.A
  • Hooker & Holcombe, Inc.
    LP sponsory
  • Usi Advisors
    investment adviserLP sponsornRAUM $56B
  • Usi Consulting Group, Inc.
    LP sponsorreal estatey
  • Usi Securities, Inc.
    broker-dealerinvestment adviserreal estaten
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Glastonbury, Ct · principal000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • HQ city · BLOOMFIELD to GLASTONBURY
    Mar 30, 2023 to Oct 6, 2023
  • Related adviser · false to true
    Mar 30, 2023 to Oct 6, 2023
  • Related broker-dealer · false to true
    Mar 30, 2023 to Oct 6, 2023
  • Advisory employees · 8 to 7
    Jul 22, 2022 to Mar 30, 2023
  • BD registered reps · 4 to 3
    Jul 22, 2022 to Mar 30, 2023
  • Individual clients · 1 to 0
    Jul 22, 2022 to Mar 30, 2023
  • Pension plan clients · 20 to 21
    Jul 22, 2022 to Mar 30, 2023
  • Employees · 8 to 7
    Jul 22, 2022 to Mar 30, 2023
  • State-registered IARs · 6 to 5
    Jul 22, 2022 to Mar 30, 2023
  • Discretionary RAUM · $252M to $242M
    Jul 22, 2022 to Mar 30, 2023
  • HNW RAUM · $10.6M to $10.8M
    Jul 22, 2022 to Mar 30, 2023
  • Individual RAUM · $464,515 to $0
    Jul 22, 2022 to Mar 30, 2023
  • Non-discretionary RAUM · $291M to $236M
    Jul 22, 2022 to Mar 30, 2023
  • Pension RAUM · $253M to $261M
    Jul 22, 2022 to Mar 30, 2023
  • RAUM · $543M to $478M
    Jul 22, 2022 to Mar 30, 2023
  • Accounts · 69 to 72
    Mar 23, 2021 to Mar 29, 2022
  • Advisory employees · 7 to 8
    Mar 23, 2021 to Mar 29, 2022
  • HNW clients · 6 to 5
    Mar 23, 2021 to Mar 29, 2022
  • Employees · 7 to 8
    Mar 23, 2021 to Mar 29, 2022
  • State-registered IARs · 7 to 6
    Mar 23, 2021 to Mar 29, 2022
  • Discretionary RAUM · $217M to $252M
    Mar 23, 2021 to Mar 29, 2022
  • HNW RAUM · $13.1M to $10.6M
    Mar 23, 2021 to Mar 29, 2022
  • Individual RAUM · $463,321 to $464,515
    Mar 23, 2021 to Mar 29, 2022
  • Non-discretionary RAUM · $270M to $291M
    Mar 23, 2021 to Mar 29, 2022
  • Pension RAUM · $249M to $253M
    Mar 23, 2021 to Mar 29, 2022
  • RAUM · $486M to $543M
    Mar 23, 2021 to Mar 29, 2022
  • Accounts · 75 to 69
    Jun 11, 2020 to Mar 23, 2021
  • Advisory activities · 7 to 6
    Jun 11, 2020 to Mar 23, 2021
  • HNW clients · 5 to 6
    Jun 11, 2020 to Mar 23, 2021
  • Individual clients · 9 to 1
    Jun 11, 2020 to Mar 23, 2021
  • Pension plan clients · 21 to 20
    Jun 11, 2020 to Mar 23, 2021
  • Discretionary RAUM · $201M to $217M
    Jun 11, 2020 to Mar 23, 2021
  • HNW RAUM · $11.2M to $13.1M
    Jun 11, 2020 to Mar 23, 2021
  • Individual RAUM · $1.8M to $463,321
    Jun 11, 2020 to Mar 23, 2021
  • Non-discretionary RAUM · $398M to $270M
    Jun 11, 2020 to Mar 23, 2021
  • Pension RAUM · $393M to $249M
    Jun 11, 2020 to Mar 23, 2021
  • RAUM · $598M to $486M
    Jun 11, 2020 to Mar 23, 2021
  • Accounts · 77 to 75
    Mar 27, 2019 to Mar 27, 2020
  • Advisory activities · 8 to 7
    Mar 27, 2019 to Mar 27, 2020
  • HNW clients · 4 to 5
    Mar 27, 2019 to Mar 27, 2020
Signals
5 dated events
  • Pamela E Minish left Hooker & Holcombe Investment Advisors, Inc. for Usi Advisors (registered 2023-10-26)
    Dec 31, 2023 · Advisor changed firm · fact
  • Stuart Howard Herskowitz left Hooker & Holcombe Investment Advisors, Inc. for Ensemble Financial Services, Inc. (registered 2003-10-24)
    Dec 31, 2023 · Advisor changed firm · fact
  • Brian Kulik (Chief Compliance Officer) appeared on Schedule A of Hooker & Holcombe Investment Advisors, Inc.
    Mar 29, 2022 · Control person joined · fact
  • Nelson John Fuller (Chief Compliance Officer) no longer on Schedule A of Hooker & Holcombe Investment Advisors, Inc. (listed 2021-03-23, absent 2022-03-29)
    Mar 29, 2022 · Control person left · inference
  • Hooker & Holcombe Investment Advisors, Inc. reported RAUM $490.4M, up 38% from $355.1M (2017-07-17 to 2018-03-16)
    Mar 16, 2018 · RAUM change · derived
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