Hallett Investments, Llc
- Regulatory AUM
- $158M
- Discretionary
- $158M
- Clients
- 307
- Avg AUM / client
- $514K
- Accounts
- 780
- Employees
- 5
AUM over time
Annual snapshots from Form ADV filings · as of Mar 09, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 243 | $65.6M | 41.6% |
| High net worth individuals | 50 | $84.3M | 53.4% |
| Pension and profit sharing plans | 2 | $1.3M | 0.84% |
| Charitable organizations | 12 | $6.6M | 4.2% |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| James Craig Holst | Chief Operating Officer/ Chief Compliance Officer | CFP | Dec 2018 (8y) | ≈ 56.25% – 100% via Holst Holdings, Inc |
| James Dennis Hallett | Founding Principal | Oct 2019 (7y) | Less than 5% | |
| Michael Gregory Tudor | Registered representative | Nov 2019 (7y) | ||
| Jason Robert James Wilson | Registered representative | Jan 2022 (5y) | ||
| Christine Marie Cruz | Registered representative | Mar 2024 (2y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Holst Holdings, Inc | Managing Member/ Owner | Oct 2019 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- James Craig Holst: 75% – 100% of Holst Holdings, Inc × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/09/2026 | 1.02 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Other fees
- • THIRD PARTY ADVISORY FEES
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $77.0M (49% of AUM) Mar 2026
- SEI Private Trust $72.0M (46% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 09, 2026.
View current Form ADV (SEC/IAPD) ↗