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
Halsey Associates
Legal name Halsey Associates, Inc.
Latest filing Mar 22, 2019
First filing on the tape Aug 17, 2015 · 7 filings
RAUM
$946M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
74%
$701M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$946M as of Mar 22, 2019
Mar 30, 2016$836M then
HNW client RAUM$602M as of Mar 22, 2019
Mar 28, 2018$654M then
State-registered IARs (5.B.3)4 as of Mar 22, 2019
Mar 30, 20164 then
Employees (5.A)7 as of Mar 22, 2019
Mar 30, 20167 then
Private funds: no history
RAUM -5.6% over the last fiscal year+4.2% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 22, 2019; every figure names its basis
- RAUM per advisor
- $236MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -5.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.6%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$602M64%
- Charitable organizations$101M11%
- Individuals$99.2M10%
- Pension and profit-sharing plans$77.2M8.2%
- Corporations and businesses$65.9M7.0%
- Individual clients
- 139reported
- HNW clients
- 149reported
- Pension plan clients
- 16reported
- Charitable clients
- 20reported
- Accounts
- 700reported
- Financial planning clients
- 1-10reported
- 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
Left, latest
- Peter Jonathan Secrist to Washington Trust AdvisorsOct 1, 2019 · RIA to RIA
- Thomas Nelson Ellis to Washington Trust AdvisorsOct 1, 2019 · RIA to RIA
- James Stephen Zoldy to Washington Trust AdvisorsOct 1, 2019 · RIA to RIA
Joined, latest
- Peter Jonathan Secrist from Charles Schwab & Co., Inc.Apr 29, 2019 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Washington Trust AdvisorsOct 1, 2019 · New Haven, Ct · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Kenyon Wever Mark Gim · Directorcontrolsince 08/2015 · owns less than 5%
- Otis Edward Handy · Directorcontrolsince 08/2015 · owns less than 5%
- James Kenneth Julian · Executive Vice President, Directorcontrolsince 08/2015 · owns less than 5%
- Stephen Ronald Ohsberg · Chief Financial Officer, Treasurer, Directorcontrolsince 01/2018 · owns less than 5%
- Anne Kathleen Ryan · Executive Managing Director, Directorcontrolsince 01/2018 · owns less than 5%
- Marie Nicole Tremblay · Secretarycontrolsince 08/2015 · owns less than 5%
- Stephen James Zoldy · President, Directorcontrolsince 08/2015 · owns less than 5%
Entity owners
- The Washington Trust Company, Of Westerly · Parent Companydirect · owns 75% or more
- Washington Trust Bancorp, Inc. · Shindirect · owns 75% or more of The Washington Trust Company, Of Westerly · public reporting company
Related persons
Schedule D 7.A
- The Park Insurance Agency, Inc.real estaten
- The Washington Trust Company, Of Westerlycustodiany
- Washington Trust Advisorsinvestment advisernRAUM $2.4B
- Weston Securities Corporationbroker-dealern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 721 to 700Mar 28, 2018 to Mar 22, 2019
- Advisory employees · 3 to 5Mar 28, 2018 to Mar 22, 2019
- Advisory activities · 3 to 4Mar 28, 2018 to Mar 22, 2019
- Charity clients · 17 to 20Mar 28, 2018 to Mar 22, 2019
- Corporate clients · 12 to 13Mar 28, 2018 to Mar 22, 2019
- HNW clients · 157 to 149Mar 28, 2018 to Mar 22, 2019
- Individual clients · 145 to 139Mar 28, 2018 to Mar 22, 2019
- Pension plan clients · 11 to 16Mar 28, 2018 to Mar 22, 2019
- Financial planning clients · 0 to 1-10Mar 28, 2018 to Mar 22, 2019
- Discretionary RAUM · $992M to $940MMar 28, 2018 to Mar 22, 2019
- HNW RAUM · $654M to $602MMar 28, 2018 to Mar 22, 2019
- Individual RAUM · $94.7M to $99.2MMar 28, 2018 to Mar 22, 2019
- Non-discretionary RAUM · $9.7M to $5.8MMar 28, 2018 to Mar 22, 2019
- Pension RAUM · $84.4M to $77.2MMar 28, 2018 to Mar 22, 2019
- RAUM · $1.0B to $946MMar 28, 2018 to Mar 22, 2019
- Accounts · 715 to 721Mar 22, 2017 to Mar 28, 2018
- Charity clients · unset to 17.0Mar 22, 2017 to Mar 28, 2018
- Corporate clients · unset to 12.0Mar 22, 2017 to Mar 28, 2018
- HNW clients · unset to 157.0Mar 22, 2017 to Mar 28, 2018
- Individual clients · unset to 145.0Mar 22, 2017 to Mar 28, 2018
- Pension plan clients · unset to 11.0Mar 22, 2017 to Mar 28, 2018
- Pooled vehicle clients · unset to 0.0Mar 22, 2017 to Mar 28, 2018
- Other offices · unset to 1.0Mar 22, 2017 to Mar 28, 2018
- Discretionary RAUM · $884M to $992MMar 22, 2017 to Mar 28, 2018
- HNW RAUM · unset to 653538071.0Mar 22, 2017 to Mar 28, 2018
- Individual RAUM · unset to 94710305.0Mar 22, 2017 to Mar 28, 2018
- Non-discretionary RAUM · $6.0M to $9.7MMar 22, 2017 to Mar 28, 2018
- Pension RAUM · unset to 84358102.0Mar 22, 2017 to Mar 28, 2018
- Pooled vehicle RAUM · unset to 0.0Mar 22, 2017 to Mar 28, 2018
- RAUM · $890M to $1.0BMar 22, 2017 to Mar 28, 2018
- Accounts · 717 to 715Jan 24, 2017 to Mar 22, 2017
- Discretionary RAUM · $830M to $884MJan 24, 2017 to Mar 22, 2017
- Non-discretionary RAUM · $5.6M to $6.0MJan 24, 2017 to Mar 22, 2017
- RAUM · $836M to $890MJan 24, 2017 to Mar 22, 2017
- Accounts · 701 to 717Feb 12, 2016 to Mar 30, 2016
- Discretionary RAUM · $862M to $830MFeb 12, 2016 to Mar 30, 2016
- Non-discretionary RAUM · $5.6M to $5.6MFeb 12, 2016 to Mar 30, 2016
- RAUM · $867M to $836MFeb 12, 2016 to Mar 30, 2016
- Succession · true to falseAug 17, 2015 to Feb 12, 2016
Signals
2 dated events
- Halsey Associates reported succeeding to the business of Another Adviser (Form ADV Item 4)Aug 17, 2015 · Succession (Item 4) · fact
- Halsey Associates filed its initial SEC registration (Form ADV)Aug 17, 2015 · 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.
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