Asset manager · Manhasset, NY
Halo Investment Services, LLC
SEC-registered investment adviser · CRD 325613 · SEC 801-127670
At a glance
Halo Investment Services, LLC is an SEC-registered investment adviser based in Manhasset, New York, with $75 million in regulatory assets under management as of its Form ADV filed September 1, 2026. Its largest client group by assets is other. By Form ADV it is a asset manager, ranked 2,386th of 3,218 asset managers and 15,666th of 17,210 SEC-registered advisers by assets.
Main office 312-586-2790As filed on Form ADV
- Regulatory AUM
- $75M
- Rank among asset managers
- #2,386 of 3,218
- Rank among all SEC RIAs
- #15,666 of 17,210
- Rank in New York
- #2,261 of 2,591
- Clients
- 0
- Accounts
- 8
- Discretionary
- 3% of AUM
- Employees
- 24
- Advisory staff
- 21
- Offices
- 2
Owners and executives on its Form ADV
- Christopher C. WarrenHead of Asset & Wealth Management
- Dennis MonohanHead of Investment Solutions
- Walter A. GilmoreChief Compliance Officer
Custody and brokerage
Custodian
Halo Investment Services, LLC’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
Halo Investment Services, LLC is a hybrid RIA: 21 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Halo Securities, LLC.
- Halo Securities, LLC ↗CRD 279029
An introducing broker-dealer: its trades clear through another firm, which holds the brokerage accounts. Its annual audited report filed with the SEC, April 2026
Its Form ADV brochure (filed March 2026) names Halo Securities as the broker-dealer its advisers are registered with.
Certain Halo professionals are registered with Halo Securities.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Other | – | $75M | 100% |
Disciplinary disclosures
Halo Investment Services, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Selecting other advisers
- Other services
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗
AtlasMembers
The full record on Halo Investment Services, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 2 years of filings
- Locked
- Growth over one, three and five years
- Locked
- Rank against 439 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 3 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 2Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Halo Investment Services, LLC manage?
Halo Investment Services, LLC reports $75 million in regulatory assets under management across 8 accounts, 3% of it on a discretionary basis, on its Form ADV filed September 1, 2026.
What kind of firm is Halo Investment Services, LLC?
Halo Investment Services, LLC is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are Halo Investment Services, LLC’s clients?
By assets, its largest client types are other ($75 million).
Does Halo Investment Services, LLC have any disciplinary history?
Halo Investment Services, LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Halo Investment Services, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-01), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →