Wealth manager, wrap-program sponsor · Woodland Hills, CA
Hesen & Haslam
Hesen & Haslam, LLC · SEC-registered investment adviser · CRD 286235 · SEC 801-110192
At a glance
Hesen & Haslam is an SEC-registered investment adviser based in Woodland Hills, California, with $284 million in regulatory assets under management as of its Form ADV filed March 3, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 261 individual clients. By Form ADV it is a wealth manager (wrap-program sponsor), ranked 4,566th of 8,915 wealth managers and 10,458th of 17,210 SEC-registered advisers by assets.
Main office 818-200-1107hesen-haslam.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $284M
- Rank among wealth managers
- #4,566 of 8,915
- Rank among all SEC RIAs
- #10,458 of 17,210
- Rank in California
- #1,194 of 1,873
- Individual clients
- 261
- High-net-worth clients
- 65
- Accounts
- 644
- Discretionary
- 87% of AUM
- Employees
- 5
- Advisory staff
- 3
- Offices
- 1
Owners and executives on its Form ADV
- Ryan O HaslamManaging Member
- Mitchell H. HesenManaging Member and Chief Compliance Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Hesen & Haslam is a hybrid RIA: 3 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed March 2026) names LPL Financial as the broker-dealer its advisers are registered with.
Commissionable Securities Sales Representatives of our firm are registered representatives of LPL, member FINRA/SIPC.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 65 | $157M | 55% |
| Individuals | 196 | $90M | 32% |
| Pension and profit sharing plans | 8 | $37M | 13% |
Disciplinary disclosures
Hesen & Haslam reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗hesen-haslam.com ↗
AtlasMembers
The full record on Hesen & Haslam
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, 8 years of filings
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- Growth over one, three and five years
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- Rank against 6,497 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Hesen & Haslam manage?
Hesen & Haslam reports $284 million in regulatory assets under management across 644 accounts, 87% of it on a discretionary basis, on its Form ADV filed March 3, 2026.
What kind of firm is Hesen & Haslam?
Hesen & Haslam is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Hesen & Haslam’s clients?
By assets, its largest client types are high-net-worth individuals ($157 million, 65 clients); individuals ($90 million, 196 clients); pension and profit sharing plans ($37 million, 8 clients).
Does Hesen & Haslam have any disciplinary history?
Hesen & Haslam 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 Hesen & Haslam’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 (2026-03-03), 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 →