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

Halo Investment Services, LLC

Other adviserManhasset, New YorkCRD 325613SEC 801-127670IAPD
Latest filing Sep 1, 2026
First filing on the tape Mar 16, 2023 · 20 filings
SEC status approved since May 4, 2023
RAUM
$75.2M
reported, Item 5.F
Discretionary
2.7%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
24
registered through the firm on IAPD
RAUM per advisor
$3.1M
derived; firm RAUM over IAPD count
Employees
24
21 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$60.0M as of Mar 24, 2026
Mar 29, 2024$31.2M then
HNW client RAUM$0 as of Mar 24, 2026
Mar 29, 2024$0 then
State-registered IARs (5.B.3)21 as of Mar 24, 2026
Mar 29, 202415 then
Employees (5.A)24 as of Mar 24, 2026
Mar 29, 202415 then
Private funds: no history
RAUM +130% over the last fiscal yearIARs 15 to 21
Practice profile
derived from the filing of Sep 1, 2026; every figure names its basis
RAUM per advisor
$3.1MderivedRAUM 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
$9.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
2.7%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
12.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+84%derivedbetween the last two annual amendments
Advisor growth, one year
+40%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
selection of other advisers, 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
8reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=21.0derived
Advisors registered through the firm
24 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Ian James ZindelChicago, Il Aug 8, 202310 y1
Dennis MonohanManhasset, Ny Aug 8, 202316 y3
Alexander RabinovichChicago, Il Aug 8, 202328 y3
Chloe Anne LeitzkeChicago, Il Aug 8, 202313 y3
Joseph Lee MosesLone Tree, Co Aug 9, 202328 y4
Christopher John SullivanManhasset, Ny Aug 11, 202321 y2
Frank Thomas MadaloneManhasset, Ny Aug 18, 202321 y2
Colin Michael Edward BiebelManhasset, Ny Oct 6, 202315 y0
Cameron S GroganManhasset, Ny Jan 23, 202411 y1
Christopher Robert VirgilioChicago, Il Feb 14, 202420 y1
Sam Clinton PriceManhasset, Ny Feb 22, 202427 y2
Christopher Churchman WarrenCelebration, Fl Mar 18, 202424 y0
Gregory Thomas DonohoeFlorence, Nj Jun 10, 202418 y5
Gerard John VanderzandenChartered Financial ConsultantManhasset, Ny Sep 26, 202424 y5
Colleen M StockenbergManhasset, Ny Jun 3, 202516 y1
Kevin DoyleLagrange, Il Jan 28, 202616 y0
Meghan Cathleen HayesNew York, Ny Jan 28, 202613 y0
Jeremy Alex PopperManhasset, Ny Jan 28, 202613 y0
Laurin Elizabeth StarckChartered Financial AnalystManhasset, Ny Jan 30, 202619 y1
Benjamin Theodore HammondChicago, Il Feb 9, 202611 y0
Scott Thomas WatsonChicago, Il Feb 24, 202612 y0
Emmanuel Jacob NagerManhasset, Ny Jun 16, 202612 y0
Grant WoodcockManhasset, Ny Jul 16, 202612 y0
Jack Cushing ThomsManhasset, Ny Jul 29, 202615 y0
Advisor movement
1 left, 2 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 4.2% of current headcount4 left over 36 months
Joined, latest
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
    • Dennis Monohan · Head Of Investment Solutionscontrol
      since 10/2024 · owns less than 5%
    • Churchman Christopher Warren · Head Of Asset & Wealth Managementcontrol
      since 10/2024 · owns less than 5%
    • M Jason Barsema · Ownercontrol
      since 03/2018 · owns 50% to 75% of Halo Investing, Inc.
    • Sunny Kulathaka · Ownercontrol
      since 03/2018 · owns 50% to 75% of Kulathakal Holdings
    • Sunny Elizabeth Kulathakal · Ownercontrol
      since 03/2018 · owns 50% to 75% of Kulathakal Holdings
    • Joseph Gery Sadzewicz · Chief Compliance Officer
      since 02/2023 · owns less than 5%
    Entity owners
    • Halo Investing, Inc. · Member
      direct · owns 75% or more
    • Kulathakal Holdings · Owner
      indirect · owns 50% to 75% of Halo Investing, Inc.
    Related persons
    Schedule D 7.A
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Manhasset, Ny · principal2491
    Chicago, Il1350
    Offices
    Schedule D 1.F, the 25 largest
    • Chicago, IL3 employees
    ADV anomalies
    1 against comparable advisers; where to look, not conclusions
    • employee count surgeChange between filings · filing Mar 24, 2026
      employees (Item 5.A) moved from 15.0 to 24.0 (+60.0%) between the annual amendments of 2025-03-31 and 2026-03-24; the peer median change was 0.0% (103 comparable advisers, 97.0th percentile of changes)
      peers: other advisers, under $100M (103) · 97% percentile
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Accounts · 7 to 8
      Mar 24, 2026 to Sep 1, 2026
    • Financial planning clients · 0 to 0
      Mar 24, 2026 to Sep 1, 2026
    • Discretionary RAUM · $0 to $2.0M
      Mar 24, 2026 to Sep 1, 2026
    • Non-discretionary RAUM · $60.0M to $73.1M
      Mar 24, 2026 to Sep 1, 2026
    • RAUM · $60.0M to $75.2M
      Mar 24, 2026 to Sep 1, 2026
    • Succession · false to unset
      Mar 24, 2026 to Sep 1, 2026
    • Accounts · 3 to 7
      Jun 3, 2025 to Mar 24, 2026
    • Advisory employees · 15 to 21
      Jun 3, 2025 to Mar 24, 2026
    • BD registered reps · 15 to 21
      Jun 3, 2025 to Mar 24, 2026
    • Employees · 15 to 24
      Jun 3, 2025 to Mar 24, 2026
    • Insurance-licensed employees · 2 to 0
      Jun 3, 2025 to Mar 24, 2026
    • State-registered IARs · 15 to 21
      Jun 3, 2025 to Mar 24, 2026
    • Non-discretionary RAUM · $32.6M to $60.0M
      Jun 3, 2025 to Mar 24, 2026
    • RAUM · $32.6M to $60.0M
      Jun 3, 2025 to Mar 24, 2026
    • Financial planning clients · 0 to 0
      Mar 31, 2025 to Jun 3, 2025
    • Accounts · 2 to 3
      Oct 31, 2024 to Mar 31, 2025
    • Financial planning clients · unset to 0
      Oct 31, 2024 to Mar 31, 2025
    • Discretionary RAUM · $31.2M to $0
      Oct 31, 2024 to Mar 31, 2025
    • Non-discretionary RAUM · $0 to $32.6M
      Oct 31, 2024 to Mar 31, 2025
    • RAUM · $31.2M to $32.6M
      Oct 31, 2024 to Mar 31, 2025
    • Related adviser · false to true
      Oct 31, 2024 to Mar 31, 2025
    • HQ city · unset to MANHASSET
      Mar 29, 2024 to Apr 9, 2024
    • HQ state · unset to NY
      Mar 29, 2024 to Apr 9, 2024
    • Accounts · 3 to 2
      Mar 18, 2024 to Mar 29, 2024
    • Advisory employees · 2 to 15
      Mar 18, 2024 to Mar 29, 2024
    • BD registered reps · 2 to 15
      Mar 18, 2024 to Mar 29, 2024
    • Employees · 3 to 15
      Mar 18, 2024 to Mar 29, 2024
    • State-registered IARs · 2 to 15
      Mar 18, 2024 to Mar 29, 2024
    • Discretionary RAUM · $25.0M to $31.2M
      Mar 18, 2024 to Mar 29, 2024
    • RAUM · $25.0M to $31.2M
      Mar 18, 2024 to Mar 29, 2024
    • Accounts · unset to 3.0
      Aug 17, 2023 to Sep 6, 2023
    • Charity clients · unset to 0.0
      Aug 17, 2023 to Sep 6, 2023
    • Corporate clients · unset to 0.0
      Aug 17, 2023 to Sep 6, 2023
    • HNW clients · unset to 0.0
      Aug 17, 2023 to Sep 6, 2023
    • Individual clients · unset to 0.0
      Aug 17, 2023 to Sep 6, 2023
    • Pension plan clients · unset to 0.0
      Aug 17, 2023 to Sep 6, 2023
    • Pooled vehicle clients · unset to 0.0
      Aug 17, 2023 to Sep 6, 2023
    • HQ city · OAK BROOK to unset
      Aug 17, 2023 to Sep 6, 2023
    • HQ state · IL to unset
      Aug 17, 2023 to Sep 6, 2023
    • Other offices · 0 to 1
      Aug 17, 2023 to Sep 6, 2023
    Signals
    14 dated events
    • Philip Soto left Halo Investment Services, Llc for Cetera Investment Advisers Llc (registered 2026-04-09)
      Feb 2, 2026 · Advisor changed firm · fact
    • Churchman Christopher Warren (Head Of Asset & Wealth Management) appeared on Schedule A of Halo Investment Services, Llc
      Oct 31, 2024 · Control person joined · fact
    • Dennis Monohan (Head Of Investment Solutions) appeared on Schedule A of Halo Investment Services, Llc
      Oct 31, 2024 · Control person joined · fact
    • Thomas Frank Madalone (Chief Executive Officer) no longer on Schedule A of Halo Investment Services, Llc (listed 2024-04-29, absent 2024-06-20)
      Jun 20, 2024 · Control person left · inference
    • Daniel Barrett Hennig left Halo Investment Services, Llc for Audent Global Asset Management, Llc (registered 2024-10-22)
      Apr 17, 2024 · Advisor changed firm · fact
    • Regis Edward Condon (Ceo) no longer on Schedule A of Halo Investment Services, Llc (listed 2024-03-29, absent 2024-04-09)
      Apr 9, 2024 · Control person left · inference
    • Halo Investment Services, Llc reported 15 state-registered advisory representatives, up from 2 (2024-03-18 to 2024-03-29)
      Mar 29, 2024 · Advisor headcount change · derived
    • Terrence Patrick Hawkins left Halo Investment Services, Llc for Trajan Wealth, L.L.C. (registered 2024-06-06)
      Mar 13, 2024 · Advisor changed firm · fact
    • Daniel Christopher Gorman left Halo Investment Services, Llc for Orion Portfolio Solutions, Llc (registered 2024-06-28)
      Oct 9, 2023 · Advisor changed firm · fact
    • David Tyler Qualio (Member) no longer on Schedule A of Halo Investment Services, Llc (listed 2023-08-08, absent 2023-08-17)
      Aug 17, 2023 · Control person left · inference
    • 9 advisors left Rothschild Wealth LLC (Chicago, IL) for Halo Investment Services, LLC on the same day
      Aug 9, 2023 · Team lift-out · derived
    • Sunny Kulathaka (Owner) appeared on Schedule A of Halo Investment Services, Llc
      May 1, 2023 · Control person joined · fact
    • Sunny Elizabeth Kulathakal (Owner) appeared on Schedule A of Halo Investment Services, Llc
      May 1, 2023 · Control person joined · fact
    • Halo Investment Services, Llc filed its initial SEC registration (Form ADV)
      Mar 16, 2023 · 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
    Principal office phone
    312-586-2790reportedpublic record, Form ADV, Sep 1, 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
    Other adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $3.1Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026