{"url":"https://nivawealth.com/firms/hallett-investments-306187","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/306187","regulatoryAum":157934527,"crd":"306187","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6949264","suffix":null,"lastName":"CRUZ","firstName":"CHRISTINE","middleName":"MARIE"},{"crd":"1693123","suffix":null,"lastName":"HALLETT","firstName":"JAMES","middleName":"DENNIS"},{"crd":"1007503","suffix":null,"lastName":"HOLST","firstName":"JAMES","middleName":"CRAIG"},{"crd":"6281832","suffix":null,"lastName":"TUDOR","firstName":"MICHAEL","middleName":"GREGORY"},{"crd":"7493195","suffix":null,"lastName":"WILSON","firstName":"JASON","middleName":"ROBERT JAMES"}],"total":5,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-05-18","regulatoryAum":114819960,"clients":253,"employees":5,"offices":3},{"filedOn":"2022-04-06","regulatoryAum":125261396,"clients":252,"employees":6,"offices":3},{"filedOn":"2023-03-03","regulatoryAum":110916806,"clients":254,"employees":6,"offices":3},{"filedOn":"2024-03-08","regulatoryAum":130363346,"clients":275,"employees":6,"offices":5},{"filedOn":"2025-02-20","regulatoryAum":145197577,"clients":290,"employees":5,"offices":5},{"filedOn":"2026-03-09","regulatoryAum":157934527,"clients":307,"employees":5,"offices":5}],"secFileNumber":"801-117651","legalName":"Hallett Investments, LLC","displayName":"Hallett Investments","slug":"hallett-investments-306187","website":"https://hallettadvisors.us/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/hallett-advisors/","founded":null,"organization":"Washington limited liability company","fiscalYearEnd":"December","headquarters":{"street":"1506 East First Street","city":"Port Angeles","state":"WA","stateName":"Washington","country":"United States","postalCode":"98362"},"tradeNames":["Hallet Advisors"],"registration":{"secApproved":"18 November 2019","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":511874.08873720135,"staff":{"employees":5,"advisory":5,"brokerDealerReps":0,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":157934527,"discretionary":157934527,"discretionaryAccounts":780,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":5},"clientTypes":[{"label":"Individuals (other than HNW)","clients":243,"regulatoryAum":65641269},{"label":"High-net-worth individuals","clients":50,"regulatoryAum":84337839},{"label":"Pension and profit-sharing plans","clients":2,"fewerThan5":true,"regulatoryAum":1321034},{"label":"Charitable organizations","clients":12,"regulatoryAum":6634385}],"feePrograms":[{"role":"main","program":"Portfolio Management Services","feeBasis":"ceiling","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1016225","versionId":1016225,"ratePeriod":"annual","fee_billing":"both","submittedOn":"2026-03-09","documentName":"HALLETT INVESTMENTS, LLC DISCLOSURE BROCHURE","fee_rate_low":null,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Expert Witness Services","summary":"Expert witness consulting is billed at $350 an hour or $2,500 per diem, in addition to travel and related expenses.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1016225","versionId":1016225,"submittedOn":"2026-03-09","documentName":"HALLETT INVESTMENTS, LLC DISCLOSURE BROCHURE"},{"role":"other","program":"Financial Planning and Consulting","summary":"Financial planning and modular consulting are billed hourly at $350, which the brochure says is non-negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1016225","versionId":1016225,"submittedOn":"2026-03-09","documentName":"HALLETT INVESTMENTS, LLC DISCLOSURE BROCHURE"},{"role":"other","program":"Pension Consulting Services","summary":"Pension consulting to employee benefit plans; customized plan services are negotiated with the plan sponsor case by case.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1016225","versionId":1016225,"submittedOn":"2026-03-09","documentName":"HALLETT INVESTMENTS, LLC DISCLOSURE BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T16:29:15.409573+00:00","documents":[{"name":"HALLETT INVESTMENTS, LLC DISCLOSURE BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1016225","versionId":1016225,"submittedOn":"2026-03-09"}]},"custodians":[{"name":"SEI Private Trust Company","shortName":"SEI Private Trust","location":"Oaks, PA","smaAssets":71978491},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":76983761}],"custodyNote":"Hallett Investments has custody of $158M in client assets for 307 clients.","otherCustodians":[],"leadership":[{"name":"James Holst","title":"Chief Operating Officer/ Chief Compliance Officer","crd":"1007503"},{"name":"James Hallett","title":"Founding Principal","crd":"1693123"}],"ownership":[{"label":"Holst Holdings, Inc","detail":"Managing member/ owner in the 75% or more ownership band and a control person, since October 2019."},{"label":"James Holst","detail":"Indirect owner: a shareholder/ president of Holst Holdings, Inc in the 75% or more band and a control person, since December 2018.","parent":"Holst Holdings, Inc"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":4,"privateResidences":2},"listedOfficeAddresses":3,"foreignOffices":[],"officesByState":[{"state":"Oregon","offices":1,"addresses":[{"street":"829 NW 19th Avenue","city":"Portland"}]},{"state":"Washington","offices":2,"addresses":[{"street":"1506 East First Street","city":"Port Angeles","headquarters":true},{"street":"1220 Main Street","city":"Vancouver"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"360-457-6000","stateRegisteredReps":5,"otherAdviserReps":3,"compensation":["A percentage of assets under management","Hourly charges","Other"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"11-25","assetMix":[{"label":"Exchange-traded equity securities","percent":38},{"label":"Non-exchange-traded equity securities","percent":5},{"label":"U.S. government/agency bonds","percent":1},{"label":"U.S. state and local bonds","percent":1},{"label":"Investment grade corporate bonds","percent":2},{"label":"Securities issued by registered investment companies or business development companies","percent":47},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":6}],"privateFunds":0},"sources":{"adv1FilingDate":"9 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/306187/PDF/306187.pdf","brochureDate":"9 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1016225","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Hallett Investments have?","answer":"Hallett Investments has 307 clients and manages $158 million for them, as of March 2026. They include 243 individual clients, 50 high-net-worth individuals and 12 charitable organizations.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 9 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Hallett Investments offer?","answer":"Hallett Investments provides financial planning, portfolio management for individuals and small businesses, pension consulting, and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Hallett Investments charge?","answer":"Hallett Investments charges up to 1.00% a year for its Portfolio Management Services. The fee is billed in advance or in arrears and is negotiable.","source":"HALLETT INVESTMENTS, LLC DISCLOSURE BROCHURE, filed 9 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Hallett Investments use?","answer":"Hallett Investments’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $77M and SEI Private Trust Company (Oaks, PA), with $72M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 9 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Hallett Investments have?","answer":"Hallett Investments has 5 investment adviser representatives registered with state securities authorities, out of 5 employees, and 5 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Hallett Investments invest in?","answer":"At the end of its last fiscal year, Hallett Investments’ separately managed accounts held 47% registered funds (mutual funds, ETFs, BDCs), 38% exchange-traded equities, 6% pooled vehicles (private funds and similar), 5% non-exchange-traded equities, 2% investment grade corporate bonds, 1% U.S. government and agency bonds and 1% state and local bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Hallett Investments?","answer":"Hallett Investments is owned through a holding company by James Holst. Its direct owner is Holst Holdings, Inc (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 9 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Hallett Investments get paid?","answer":"Hallett Investments is paid through a percentage of assets under management, hourly charges and other compensation. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Hallett Investments?","answer":"Hallett Investments’ main office is at 1506 East First Street, Port Angeles, WA 98362. Its phone number is 360-457-6000. Its website is hallettadvisors.us.","source":"Form ADV Part 1A, Item 1.F, filed 9 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}