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.
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SEC-registered adviser
H•••••• A•••••••
Legal name H•••••• I••••••••• L••
Latest filing Mar 9, 2026
First filing on the tape Oct 17, 2019 · 15 filings
SEC status approved since Nov 18, 2019
RAUM
$158M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$150M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$31.6M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$158M as of Mar 9, 2026
Mar 12, 2020$104M then
HNW client RAUM$84.3M as of Mar 9, 2026
Mar 12, 2020$32.9M then
State-registered IARs (5.B.3)5 as of Mar 9, 2026
Mar 12, 20205 then
Employees (5.A)5 as of Mar 9, 2026
Mar 12, 20205 then
Private funds: no history
RAUM +8.8% over the last fiscal year+13% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 9, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $31.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $202,480derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.0%derived
- Compensation
- percentage of assets, hourly, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $158M, 307 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$84.3M53%
- Individuals$65.6M42%
- Charitable organizations$6.6M4.2%
- Pension and profit-sharing plans$1.3M0.8%
- Individual clients
- 243reported
- HNW clients
- 50reported
- Pension plan clients
- 2reported
- Charitable clients
- 12reported
- Accounts
- 780reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $158M for 307 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• D••••• H•••••• | Port Angeles, Wa | Nov 25, 2019 | 39 y | 2 |
| J•••• R••••• J•••• W••••• | Port Angeles, Wa | Jan 20, 2022 | 11 y | 0 |
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
none on the tape
Joined, latest
- J•••• C•••• H•••• from S•••• I•••••••• L••Nov 27, 2019 · RIA to RIA
- J•••• D••••• H•••••• from F•••• A••••• S••••••••• I•••Nov 25, 2019 · Other
- M•••••• G•••••• T•••• from S•••• I•••••••• L••Nov 18, 2019 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from S•••• I•••••••• L••Aug 25, 2022 · Roseville, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• J••••• D••••• · Founding Principalcontrolsince 10/2019 · owns less than 5%
- H••••• J••••• C•••• · Chief Operating Officer/ Chief Compliance Officercontrolsince 10/2019 · owns less than 5%
- H••••• J••••• C•••• · Shareholder/ Presidentcontrolsince 12/2018 · owns 75% or more of H•••• H•••••••• I••
Entity owners
- H•••• H•••••••• I•• · Managing Member/ Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- S•••• D••• • H••••• L••investment adviseryRAUM $1.8B
Advisers that list H•••••• A••••••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Port Angeles, Wa · principal | 5 | 0 | 0 | ||
| Vancouver, Wa | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Vancouver, WA2 employees
- , 1 employees
- Portland, OR
What changed
consecutive filings, newest first
- Accounts · 746 to 780Feb 20, 2025 to Mar 9, 2026
- Charity clients · 9 to 12Feb 20, 2025 to Mar 9, 2026
- HNW clients · 44 to 50Feb 20, 2025 to Mar 9, 2026
- Individual clients · 235 to 243Feb 20, 2025 to Mar 9, 2026
- Assets in custody · $145M to $158MFeb 20, 2025 to Mar 9, 2026
- Discretionary RAUM · $145M to $158MFeb 20, 2025 to Mar 9, 2026
- HNW RAUM · $73.9M to $84.3MFeb 20, 2025 to Mar 9, 2026
- Individual RAUM · $65.3M to $65.6MFeb 20, 2025 to Mar 9, 2026
- Pension RAUM · $835,425 to $1.3MFeb 20, 2025 to Mar 9, 2026
- RAUM · $145M to $158MFeb 20, 2025 to Mar 9, 2026
- Accounts · 716 to 746Oct 30, 2024 to Feb 20, 2025
- Advisory employees · 6 to 5Oct 30, 2024 to Feb 20, 2025
- HNW clients · 40 to 44Oct 30, 2024 to Feb 20, 2025
- Individual clients · 225 to 235Oct 30, 2024 to Feb 20, 2025
- Pension plan clients · 1 to 2Oct 30, 2024 to Feb 20, 2025
- Assets in custody · $130M to $145MOct 30, 2024 to Feb 20, 2025
- Employees · 6 to 5Oct 30, 2024 to Feb 20, 2025
- Financial planning clients · 11-25 to 11-25Oct 30, 2024 to Feb 20, 2025
- State-registered IARs · 6 to 5Oct 30, 2024 to Feb 20, 2025
- Discretionary RAUM · $130M to $145MOct 30, 2024 to Feb 20, 2025
- HNW RAUM · $62.6M to $73.9MOct 30, 2024 to Feb 20, 2025
- Individual RAUM · $62.3M to $65.3MOct 30, 2024 to Feb 20, 2025
- Pension RAUM · $613,867 to $835,425Oct 30, 2024 to Feb 20, 2025
- RAUM · $130M to $145MOct 30, 2024 to Feb 20, 2025
- Accounts · 689 to 716Mar 3, 2023 to Mar 8, 2024
- HNW clients · 36 to 40Mar 3, 2023 to Mar 8, 2024
- Individual clients · 208 to 225Mar 3, 2023 to Mar 8, 2024
- Assets in custody · $111M to $130MMar 3, 2023 to Mar 8, 2024
- Other offices · 2 to 4Mar 3, 2023 to Mar 8, 2024
- Discretionary RAUM · $111M to $130MMar 3, 2023 to Mar 8, 2024
- HNW RAUM · $47.5M to $62.6MMar 3, 2023 to Mar 8, 2024
- Individual RAUM · $59.0M to $62.3MMar 3, 2023 to Mar 8, 2024
- Pension RAUM · $412,288 to $613,867Mar 3, 2023 to Mar 8, 2024
- RAUM · $111M to $130MMar 3, 2023 to Mar 8, 2024
- Accounts · 672 to 689Aug 12, 2022 to Feb 17, 2023
- HNW clients · 38 to 36Aug 12, 2022 to Feb 17, 2023
- Individual clients · 204 to 208Aug 12, 2022 to Feb 17, 2023
- Assets in custody · $125M to $111MAug 12, 2022 to Feb 17, 2023
- Other offices · 3 to 2Aug 12, 2022 to Feb 17, 2023
- Discretionary RAUM · $125M to $111MAug 12, 2022 to Feb 17, 2023
Signals
4 dated events
- 2 advisors left S•••• I•••••••• L•• (Roseville, CA) for H•••••• A••••••• on the same dayAug 25, 2022 · Team lift-out · derived
- Joseph Ronald Sloy (Shareholder/ Vice President) no longer on Schedule A of H•••••• A••••••• (listed 2019-10-17, absent 2019-10-29)Oct 29, 2019 · Control person left · inference
- H•••••• A••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Oct 17, 2019 · Succession (Item 4) · fact
- H•••••• A••••••• filed its initial SEC registration (Form ADV)Oct 17, 2019 · ria f•••• adv filing · 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 phone
- 360-457-6000reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 888-457-6006reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 360-457-6030reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/hallett-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••.USreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 360-457-6000reportedpublic record, Form ADV, Mar 9, 2026
- Contact form
- hallettadvisors.us/contact.htmlreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- hallettadvisors.us/staff.htmlreportedpublished by the firm, firm site, Sep 16, 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
- $31.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026