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

Hub International Investment Advisory Services Inc.

Former SEC-registered adviserConcord, CaliforniaCRD 290090SEC 801-111879IAPD
Latest filing Mar 30, 2021
First filing on the tape Sep 18, 2017 · 16 filings
RAUM
$692M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$692M as of Mar 30, 2021
Mar 31, 2019$643M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 30, 2021
Mar 29, 20185 then
Employees (5.A)5 as of Mar 30, 2021
Mar 29, 20185 then
Private funds: no history
RAUM -75% over the last fiscal yearIARs 7 to 5offices 3 to 2
Practice profile
derived from the filing of Mar 30, 2021; every figure names its basis
RAUM per advisor
$138MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$22.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
-75%derivedbetween the last two annual amendments
Advisor growth, one year
-29%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
pension consulting, educational seminars, otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$692M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
31reported
Charitable clients
n/areported
Accounts
31reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Joseph Michael Barone · Directorcontrol
      since 09/2017 · owns less than 5%
    • Dennis Darren Caesar · Directorcontrol
      since 09/2017 · owns less than 5%
    • Fredrick Joseph Denoyior · Presidentcontrol
      since 02/2021 · owns less than 5%
    • Marie Elisabeth Mays · Chief Compliance Officercontrol
      since 09/2017 · owns less than 5%
    • Patrick John Mcgrath · Directorcontrol
      since 09/2017 · owns less than 5%
    • Adam Sokolic · Vice President/Coocontrol
      since 01/2020 · owns less than 5%
    Entity owners
    • Hub International Limited · Sole Shareholder
      direct · owns 75% or more
    • Hockey Intermediate Inc. · Shareholder
      indirect · owns 75% or more of Hub International Limited
    • Hockey Investments L.P. · Managing Member
      indirect · owns 75% or more of Hockey Parent Holdings Gp, LLC
    • Hockey Investments L.P. · Limited Partner
      indirect · owns 75% or more of Hockey Parent Holdings L.P.
    • Hockey Parent Holdings Gp, LLC · General Partner
      indirect · owns F of Hockey Parent Holdings L.P.
    • Hockey Parent Holdings L.P. · Shareholder
      indirect · owns 75% or more of Hockey Parent Inc.
    • Hockey Parent Inc. · Shareholder
      indirect · owns 75% or more of Hockey Intermediate Inc.
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • Houston, TX3 employees
    • Dallas, TX2 employees
    What changed
    consecutive filings, newest first
    • Accounts · 28 to 31
      Mar 18, 2021 to Mar 30, 2021
    • Advisory employees · 7 to 5
      Mar 18, 2021 to Mar 30, 2021
    • BD registered reps · 7 to 5
      Mar 18, 2021 to Mar 30, 2021
    • Pension plan clients · 28 to 31
      Mar 18, 2021 to Mar 30, 2021
    • Employees · 7 to 5
      Mar 18, 2021 to Mar 30, 2021
    • Insurance-licensed employees · 3 to 5
      Mar 18, 2021 to Mar 30, 2021
    • State-registered IARs · 7 to 5
      Mar 18, 2021 to Mar 30, 2021
    • Non-discretionary RAUM · $696M to $692M
      Mar 18, 2021 to Mar 30, 2021
    • Pension RAUM · $696M to $692M
      Mar 18, 2021 to Mar 30, 2021
    • RAUM · $696M to $692M
      Mar 18, 2021 to Mar 30, 2021
    • Other offices · 3 to 2
      Jun 9, 2020 to Mar 18, 2021
    • Accounts · 107 to 28
      Mar 29, 2020 to Jun 9, 2020
    • Pension plan clients · 107 to 28
      Mar 29, 2020 to Jun 9, 2020
    • Non-discretionary RAUM · $2.8B to $696M
      Mar 29, 2020 to Jun 9, 2020
    • Pension RAUM · $2.8B to $696M
      Mar 29, 2020 to Jun 9, 2020
    • RAUM · $2.8B to $696M
      Mar 29, 2020 to Jun 9, 2020
    • Accounts · 30 to 107
      Sep 16, 2019 to Mar 29, 2020
    • Advisory employees · 4 to 7
      Sep 16, 2019 to Mar 29, 2020
    • BD registered reps · 5 to 7
      Sep 16, 2019 to Mar 29, 2020
    • Pension plan clients · 30 to 107
      Sep 16, 2019 to Mar 29, 2020
    • Employees · 5 to 7
      Sep 16, 2019 to Mar 29, 2020
    • State-registered IARs · 5 to 7
      Sep 16, 2019 to Mar 29, 2020
    • Other offices · 4 to 3
      Sep 16, 2019 to Mar 29, 2020
    • Non-discretionary RAUM · $643M to $2.8B
      Sep 16, 2019 to Mar 29, 2020
    • Pension RAUM · $643M to $2.8B
      Sep 16, 2019 to Mar 29, 2020
    • RAUM · $643M to $2.8B
      Sep 16, 2019 to Mar 29, 2020
    • Advisory employees · 2 to 4
      Jun 20, 2019 to Sep 16, 2019
    • Insurance-licensed employees · 0 to 3
      Jun 20, 2019 to Sep 16, 2019
    • Accounts · unset to 30.0
      Sep 25, 2018 to Mar 31, 2019
    • Advisory employees · 5 to 2
      Sep 25, 2018 to Mar 31, 2019
    • Pension plan clients · unset to 30.0
      Sep 25, 2018 to Mar 31, 2019
    • Financial planning clients · unset to 0
      Sep 25, 2018 to Mar 31, 2019
    • Other offices · 3 to 4
      Sep 25, 2018 to Mar 31, 2019
    • Discretionary RAUM · unset to 0.0
      Sep 25, 2018 to Mar 31, 2019
    • Non-discretionary RAUM · unset to 643471105.0
      Sep 25, 2018 to Mar 31, 2019
    • Pension RAUM · unset to 643471105.0
      Sep 25, 2018 to Mar 31, 2019
    • RAUM · unset to 643471105.0
      Sep 25, 2018 to Mar 31, 2019
    • Other offices · 1 to 3
      Sep 17, 2018 to Sep 25, 2018
    • Advisory employees · 4 to 5
      Sep 26, 2017 to Feb 16, 2018
    • Employees · 7 to 5
      Sep 26, 2017 to Feb 16, 2018
    Signals
    12 dated events
    • Darrell Wayne Ellisor left Hub International Investment Advisory Services Inc. for Global Retirement Partners Llc (registered 2021-01-04)
      Mar 31, 2022 · Advisor changed firm · fact
    • Elisabeth M Mays left Hub International Investment Advisory Services Inc. for Sheridan Road Advisors, Llc, A Hub International Company (registered 2019-09-16)
      Mar 31, 2022 · Advisor changed firm · fact
    • Joseph James Conzelman left Hub International Investment Advisory Services Inc. for Global Retirement Partners Llc (registered 2021-01-04)
      Mar 31, 2022 · Advisor changed firm · fact
    • Janine Jefferson Moore left Hub International Investment Advisory Services Inc. for Global Retirement Partners Llc (registered 2021-01-04)
      Mar 31, 2022 · Advisor changed firm · fact
    • 2 advisors left Hub International Investment Advisory Services Inc. (Concord, CA) for Global Retirement Partners LLC on the same day
      Mar 31, 2022 · Team lift-out · derived
    • Fredrick Joseph Denoyior (President) appeared on Schedule A of Hub International Investment Advisory Services Inc.
      Mar 18, 2021 · Control person joined · fact
    • Andrew David Reich (President) no longer on Schedule A of Hub International Investment Advisory Services Inc. (listed 2020-06-09, absent 2021-03-18)
      Mar 18, 2021 · Control person left · inference
    • Hub International Investment Advisory Services Inc. reported RAUM $696.0M, down 75% from $2.8B (2020-03-29 to 2020-06-09)
      Jun 9, 2020 · RAUM change · derived
    • Adam Sokolic (Vice President/Coo) appeared on Schedule A of Hub International Investment Advisory Services Inc.
      Mar 29, 2020 · Control person joined · fact
    • Hub International Investment Advisory Services Inc. reported RAUM $2.8B, up 334% from $643.5M (2019-09-16 to 2020-03-29)
      Mar 29, 2020 · RAUM change · derived
    • Merritt John Albright (Director) no longer on Schedule A of Hub International Investment Advisory Services Inc. (listed 2019-06-20, absent 2019-09-16)
      Sep 16, 2019 · Control person left · inference
    • Hub International Investment Advisory Services Inc. filed its initial SEC registration (Form ADV)
      Sep 18, 2017 · 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