{"url":"https://nivawealth.com/firms/hesen-and-haslam-286235","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/286235","regulatoryAum":283659028,"crd":"286235","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4531836","suffix":null,"lastName":"HASLAM","firstName":"RYAN","middleName":"O"},{"crd":"1054400","suffix":null,"lastName":"HESEN","firstName":"MITCHELL","middleName":"HUTTO"}],"total":2,"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":"2021-03-16","regulatoryAum":212458579,"clients":249,"employees":5,"offices":1},{"filedOn":"2022-02-10","regulatoryAum":229468829,"clients":265,"employees":5,"offices":1},{"filedOn":"2023-03-08","regulatoryAum":176947362,"clients":258,"employees":5,"offices":1},{"filedOn":"2024-06-20","regulatoryAum":193893510,"clients":291,"employees":5,"offices":1},{"filedOn":"2025-07-14","regulatoryAum":249975031,"clients":304,"employees":5,"offices":1},{"filedOn":"2026-03-03","regulatoryAum":283659028,"clients":269,"employees":5,"offices":1}],"secFileNumber":"801-110192","legalName":"Hesen & Haslam, LLC","displayName":"Hesen & Haslam","slug":"hesen-and-haslam-286235","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/hesen-&-haslam-the-retirement-income-specialists/","founded":"2014","organization":"California limited liability company","fiscalYearEnd":"December","headquarters":{"street":"21031 Ventura BLVD, Ste #424","city":"Woodland Hills","state":"CA","stateName":"California","country":"United States","postalCode":"91364"},"tradeNames":["Hesen & Haslam, Retirement Income Specialists"],"registration":{"secApproved":"28 March 2017","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":946339.448275862,"staff":{"employees":5,"advisory":3,"brokerDealerReps":3,"insuranceAgents":2,"promoters":0},"aum":{"regulatory":283659028,"discretionary":246994596,"discretionaryAccounts":636,"nonDiscretionary":36664432,"nonDiscretionaryAccounts":8,"wrapProgram":246994596,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":196,"regulatoryAum":90488799},{"label":"High-net-worth individuals","clients":65,"regulatoryAum":156505797},{"label":"Pension and profit-sharing plans","clients":8,"regulatoryAum":36664432}],"feePrograms":[{"role":"other","program":"Financial Planning & Consulting","summary":"Financial planning and consulting are billed hourly, not exceeding $350 an hour, or as a flat fee not exceeding $10,000, with a retainer of 50%.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1014114","versionId":1014114,"submittedOn":"2026-03-03","documentName":"ADV 2A FIRM BROCHURE"},{"role":"other","program":"Retirement Plan Consulting","summary":"Retirement plan consulting is billed hourly or as a flat fee, or as a percentage of plan assets that will not exceed 1.25%.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1014114","versionId":1014114,"submittedOn":"2026-03-03","documentName":"ADV 2A FIRM BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T15:40:07.982996+00:00","documents":[{"name":"ADV 2A FIRM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1014114","versionId":1014114,"submittedOn":"2026-03-03"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1014115","versionId":1014115,"submittedOn":null}]},"custodians":[{"name":"LPL Financial LLC","shortName":"LPL Financial","location":"Boston, MA","smaAssets":246994596}],"custodyNote":"Hesen & Haslam has custody of $14.4M in client assets for 14 clients.","otherCustodians":[],"leadership":[{"name":"Mitchell Hesen","title":"Managing Member and Chief Compliance Officer","crd":"1054400"},{"name":"Ryan Haslam","title":"Managing Member","crd":"4531836"}],"ownership":[{"label":"Ryan Haslam","detail":"Managing member in the 50% to 75% ownership band and a control person, since March 2014."},{"label":"Mitchell Hesen","detail":"Managing member and chief compliance officer in the 50% to 75% ownership band and a control person, since March 2014."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"21031 Ventura BLVD, Ste #424","city":"Woodland Hills","headquarters":true}]}],"brochureServices":["education planning","estate planning","insurance","philanthropic planning","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"818-200-1107","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":5},{"label":"Securities issued by registered investment companies or business development companies","percent":92},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":0},"sources":{"adv1FilingDate":"3 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/286235/PDF/286235.pdf","brochureDate":"3 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1014114","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 Hesen & Haslam have?","answer":"Hesen & Haslam has 269 clients and manages $284 million for them, as of March 2026. They include 196 individual clients, 65 high-net-worth individuals, and 8 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 3 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Hesen & Haslam offer?","answer":"Hesen & Haslam provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, selecting other managers, education planning, estate planning, insurance, philanthropic planning, and tax planning.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Hesen & Haslam use?","answer":"Hesen & Haslam’s separately managed account assets are held at LPL Financial LLC (Boston, MA), with $247M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 3 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Hesen & Haslam have?","answer":"Hesen & Haslam has 2 investment adviser representatives registered with state securities authorities, out of 5 employees, and 3 perform investment advisory functions. 3 employees are registered representatives of a broker-dealer and 2 employees are licensed insurance agents.","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 Hesen & Haslam invest in?","answer":"At the end of its last fiscal year, Hesen & Haslam’s separately managed accounts held 92% registered funds (mutual funds, ETFs, BDCs), 5% exchange-traded equities and 3% cash and equivalents.","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 Hesen & Haslam?","answer":"Hesen & Haslam’s direct owners are Ryan Haslam (50% to 75%) and Mitchell Hesen (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 3 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Hesen & Haslam get paid?","answer":"Hesen & Haslam is paid through a percentage of assets under management, hourly charges and fixed fees. 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 Hesen & Haslam?","answer":"Hesen & Haslam’s main office is at 21031 Ventura BLVD, Ste #424, Woodland Hills, CA 91364. Its phone number is 818-200-1107.","source":"Form ADV Part 1A, Item 1.F, filed 3 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."}