HALSEY ASSOCIATES INC

HTTP://WWW.HALSEYASSOCIATES.COM NEW HAVEN, CT Investment Advisor How do I update this listing?

Halsey Associates is based out of New Haven. Halsey Associates is a large advisory firm with discretionary assets under management (AUM) of $874,398,592 (Form ADV from 2015-02-13). Their last reported 13F filing for Q3 2019 included $629,306,000 in managed 13F securities and a top 10 holdings concentration of 37.38%. Halsey Associates's largest holding is Apple Inc with shares held of 133,948. Halsey Associates has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 77 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $629.306 Million
  • Prior Market Value $559.931 Million
  • New Purchases13 stocks
  • Additional Purchases75 stocks
  • Sold out of1 stock
  • Reduced holdings in10 stocks
  • Top 10 Holdings % 37.38 %
  • Turnover % [1]:12.96%
  • Turnover Alt % [2]: 10.10 %
  • Time Held Top20:19.95 quarters
  • Time Held Top10:13.10 quarters
  • Time Held All:36.42 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 7.69%
Performance Last 4 Quarters: 21.98%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)
  • 2010-09-30 - 13F-HR (Subscription required)
  • 2010-06-30 - 13F-HR (Subscription required)
  • 2010-03-31 - 13F-HR (Subscription required)
  • 2009-12-31 - 13F-HR (Subscription required)
  • 2009-09-30 - 13F-HR (Subscription required)
  • 2009-06-30 - 13F-HR (Subscription required)
  • 2009-03-31 - 13F-HR (Subscription required)
  • 2008-12-31 - 13F-HR (Subscription required)
  • 2008-09-30 - 13F-HR (Subscription required)
  • 2008-06-30 - 13F-HR (Subscription required)
  • 2008-06-30 - 13F-HR/A (Subscription required)
  • 2008-03-31 - 13F-HR (Subscription required)
  • 2007-12-31 - 13F-HR (Subscription required)
  • 2007-09-30 - 13F-HR (Subscription required)
  • 2007-06-30 - 13F-HR (Subscription required)
  • 2007-03-31 - 13F-HR (Subscription required)
  • 2006-12-31 - 13F-HR (Subscription required)
  • 2006-09-30 - 13F-HR (Subscription required)
  • 2006-06-30 - 13F-HR (Subscription required)
  • 2006-03-31 - 13F-HR (Subscription required)
  • 2005-12-31 - 13F-HR (Subscription required)
  • 2005-09-30 - 13F-HR (Subscription required)
  • 2005-06-30 - 13F-HR (Subscription required)
  • 2005-03-31 - 13F-HR (Subscription required)
  • 2004-12-31 - 13F-HR (Subscription required)
  • 2004-09-30 - 13F-HR (Subscription required)
  • 2004-06-30 - 13F-HR (Subscription required)
  • 2004-03-31 - 13F-HR (Subscription required)
  • 2003-12-31 - 13F-HR (Subscription required)
  • 2003-09-30 - 13F-HR (Subscription required)
  • 2003-06-30 - 13F-HR (Subscription required)
  • 2003-03-31 - 13F-HR (Subscription required)
  • 2002-12-31 - 13F-HR (Subscription required)
  • 2002-09-30 - 13F-HR (Subscription required)
  • 2002-06-30 - 13F-HR (Subscription required)
  • 2002-03-31 - 13F-HR (Subscription required)
  • 2001-12-31 - 13F-HR (Subscription required)
  • 2001-09-30 - 13F-HR (Subscription required)
  • 2001-06-30 - 13F-HR (Subscription required)
  • 2001-03-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

HALSEY ASSOCIATES INC
234 CHURCH STREET 10TH FLOOR
NEW HAVEN CT    06510
Country: UNITED STATES

Business Phone: 203-772-0740
Fax: 203-772-1433
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: CT
Number of employees: 7
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees
Amount of client funds and securities:
Total Number of Clients: 0
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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HALSEY ASSOCIATES, INC.

ownership team - last updated 2019-03-22
Name Title Start Date Direct/Indirect % Ownership
GIM, MARK, KENYON WEVER DIRECTOR 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTON FINANCIAL GROUP INC EXECUTIVE MANAGING DIRECTOR direct 2013-05-01
HALSEY ASSOCIATES, INC. EXECUTIVE MANAGING DIRECTOR, DIRECTOR direct 2015-08-01
ZOLDY, JAMES, STEPHEN PRESIDENT, DIRECTOR 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
HALSEY ASSOCIATES INC CHAIRMAN, TREASURER & DIRECTOR direct 2005-06-01
HALSEY ASSOCIATES, INC. PRESIDENT, DIRECTOR direct 2015-08-01
HALSEY ASSOCIATES INC PRESIDENT, SECRETARY & DIRECTOR direct 1997-04-01 2005-03-21
HALSEY ASSOCIATES INC CHAIRMAN, TREASURER & DIRECTOR direct 1997-04-01 2009-03-30
TREMBLAY, NICOLE, MARIE SECRETARY 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTON FINANCIAL GROUP INC CHIEF COMPLIANCE OFFICER direct 2002-11-01
WESTON FINANCIAL GROUP INC CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT direct 2005-08-01
WESTON FINANCIAL GROUP INC CHIEF COMPLIANCE OFFICER, VICE PRESIDENT direct 2005-08-01
HALSEY ASSOCIATES, INC. SECRETARY direct 2015-08-01
HALSEY ASSOCIATES, INC. CHIEF COMPLIANCE OFFICER direct 2016-01-01
THE WASHINGTON TRUST COMPANY, OF WESTERLY PARENT COMPANY 08/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
WESTON FINANCIAL GROUP INC PARENT COMPANY direct 2005-08-01
HALSEY ASSOCIATES, INC. PARENT COMPANY direct 2015-08-01
TREMBLAY, NICOLE, MARIE CHIEF COMPLIANCE OFFICER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTON FINANCIAL GROUP INC CHIEF COMPLIANCE OFFICER direct 2002-11-01
WESTON FINANCIAL GROUP INC CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT direct 2005-08-01
WESTON FINANCIAL GROUP INC CHIEF COMPLIANCE OFFICER, VICE PRESIDENT direct 2005-08-01
HALSEY ASSOCIATES, INC. SECRETARY direct 2015-08-01
HALSEY ASSOCIATES, INC. CHIEF COMPLIANCE OFFICER direct 2016-01-01
JULIAN, KENNETH, JAMES EXECUTIVE VICE PRESIDENT, DIRECTOR 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
HALSEY ASSOCIATES INC PRESIDENT, CHIEF COMPLIANCE OFFICER & DIRECTOR direct 2005-06-01
HALSEY ASSOCIATES, INC. EXECUTIVE VICE PRESIDENT, DIRECTOR direct 2015-08-01
HALSEY ASSOCIATES INC EXECUTIVE V.P. & DIRECTOR direct 1998-05-01 2005-03-21
HALSEY ASSOCIATES INC PRESIDENT, SECRETARY & DIRECTOR direct 1998-05-01 2005-08-01
HALSEY ASSOCIATES INC PRESIDENT, SECRETARY, CHIEF COMPLIANCE OFFICER & DIRECTOR direct 1998-05-01 2009-03-30
HALSEY ASSOCIATES INC PRESIDENT, SECRETARY, CHIEF COMPLIANCE OFFICER & DIRECTOR direct 2005-06-01 2010-03-26
HALSEY ASSOCIATES, INC. EXECUTIVE VICE PRESIDENT; CHIEF COMPLIANCE OFFICER, DIRECTOR direct 2015-08-01 2015-08-17
Ryan, Kathleen, Anne EXECUTIVE MANAGING DIRECTOR, DIRECTOR 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTON FINANCIAL GROUP INC EXECUTIVE MANAGING DIRECTOR, DIRECTOR direct 2018-01-01
OHSBERG, RONALD, STEPHEN CHIEF FINANCIAL OFFICER, TREASURER, DIRECTOR 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTON FINANCIAL GROUP INC DIRECTOR direct 2018-01-01
HANDY, EDWARD, OTIS DIRECTOR 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTON FINANCIAL GROUP INC DIRECTOR direct 2014-04-01
WASHINGTON TRUST BANCORP, INC. SH THE WASHINGTON TRUST COMPANY, OF WESTERLY 08/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WESTON FINANCIAL GROUP INC PARENT COMPANY direct 2005-08-01
HALSEY ASSOCIATES, INC. SH indirect 2015-08-01

HALSEY ASSOCIATES, INC.

ownership team - last updated 2017-03-22
Name Title Start Date Direct/Indirect % Ownership
GIM, MARK, KENYON WEVER EXECUTIVE MANAGING DIRECTOR, DIRECTOR 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTON FINANCIAL GROUP INC EXECUTIVE MANAGING DIRECTOR direct 2013-05-01
HALSEY ASSOCIATES, INC. EXECUTIVE MANAGING DIRECTOR, DIRECTOR direct 2015-08-01
ZOLDY, JAMES, STEPHEN PRESIDENT, DIRECTOR 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
HALSEY ASSOCIATES INC CHAIRMAN, TREASURER & DIRECTOR direct 2005-06-01
HALSEY ASSOCIATES, INC. PRESIDENT, DIRECTOR direct 2015-08-01
HALSEY ASSOCIATES INC PRESIDENT, SECRETARY & DIRECTOR direct 1997-04-01 2005-03-21
HALSEY ASSOCIATES INC CHAIRMAN, TREASURER & DIRECTOR direct 1997-04-01 2009-03-30
TREMBLAY, NICOLE, MARIE SECRETARY 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTON FINANCIAL GROUP INC CHIEF COMPLIANCE OFFICER direct 2002-11-01
WESTON FINANCIAL GROUP INC CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT direct 2005-08-01
WESTON FINANCIAL GROUP INC CHIEF COMPLIANCE OFFICER, VICE PRESIDENT direct 2005-08-01
HALSEY ASSOCIATES, INC. SECRETARY direct 2015-08-01
HALSEY ASSOCIATES, INC. CHIEF COMPLIANCE OFFICER direct 2016-01-01
DEVAULT, DAVID, VICTOR CFO, TREASURER AND DIRECTOR 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
HALSEY ASSOCIATES, INC. CFO, TREASURER AND DIRECTOR direct 2015-08-01
THE WASHINGTON TRUST COMPANY, OF WESTERLY PARENT COMPANY 08/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
WESTON FINANCIAL GROUP INC PARENT COMPANY direct 2005-08-01
HALSEY ASSOCIATES, INC. PARENT COMPANY direct 2015-08-01
TREMBLAY, NICOLE, MARIE CHIEF COMPLIANCE OFFICER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTON FINANCIAL GROUP INC CHIEF COMPLIANCE OFFICER direct 2002-11-01
WESTON FINANCIAL GROUP INC CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT direct 2005-08-01
WESTON FINANCIAL GROUP INC CHIEF COMPLIANCE OFFICER, VICE PRESIDENT direct 2005-08-01
HALSEY ASSOCIATES, INC. SECRETARY direct 2015-08-01
HALSEY ASSOCIATES, INC. CHIEF COMPLIANCE OFFICER direct 2016-01-01
JULIAN, KENNETH, JAMES EXECUTIVE VICE PRESIDENT, DIRECTOR 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
HALSEY ASSOCIATES INC PRESIDENT, CHIEF COMPLIANCE OFFICER & DIRECTOR direct 2005-06-01
HALSEY ASSOCIATES, INC. EXECUTIVE VICE PRESIDENT, DIRECTOR direct 2015-08-01
HALSEY ASSOCIATES INC EXECUTIVE V.P. & DIRECTOR direct 1998-05-01 2005-03-21
HALSEY ASSOCIATES INC PRESIDENT, SECRETARY & DIRECTOR direct 1998-05-01 2005-08-01
HALSEY ASSOCIATES INC PRESIDENT, SECRETARY, CHIEF COMPLIANCE OFFICER & DIRECTOR direct 1998-05-01 2009-03-30
HALSEY ASSOCIATES INC PRESIDENT, SECRETARY, CHIEF COMPLIANCE OFFICER & DIRECTOR direct 2005-06-01 2010-03-26
HALSEY ASSOCIATES, INC. EXECUTIVE VICE PRESIDENT; CHIEF COMPLIANCE OFFICER, DIRECTOR direct 2015-08-01 2015-08-17
WASHINGTON TRUST BANCORP, INC. SH THE WASHINGTON TRUST COMPANY, OF WESTERLY 08/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WESTON FINANCIAL GROUP INC PARENT COMPANY direct 2005-08-01
HALSEY ASSOCIATES, INC. SH indirect 2015-08-01

HALSEY ASSOCIATES INC

ownership team - last updated 2015-02-13
Name Title Start Date Direct/Indirect % Ownership
JULIAN, KENNETH, JAMES PRESIDENT, CHIEF COMPLIANCE OFFICER & DIRECTOR 06/01/2005 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
HALSEY ASSOCIATES INC PRESIDENT, CHIEF COMPLIANCE OFFICER & DIRECTOR direct 2005-06-01
HALSEY ASSOCIATES, INC. EXECUTIVE VICE PRESIDENT, DIRECTOR direct 2015-08-01
HALSEY ASSOCIATES INC EXECUTIVE V.P. & DIRECTOR direct 1998-05-01 2005-03-21
HALSEY ASSOCIATES INC PRESIDENT, SECRETARY & DIRECTOR direct 1998-05-01 2005-08-01
HALSEY ASSOCIATES INC PRESIDENT, SECRETARY, CHIEF COMPLIANCE OFFICER & DIRECTOR direct 1998-05-01 2009-03-30
HALSEY ASSOCIATES INC PRESIDENT, SECRETARY, CHIEF COMPLIANCE OFFICER & DIRECTOR direct 2005-06-01 2010-03-26
HALSEY ASSOCIATES, INC. EXECUTIVE VICE PRESIDENT; CHIEF COMPLIANCE OFFICER, DIRECTOR direct 2015-08-01 2015-08-17
ZOLDY, JAMES, STEPHEN CHAIRMAN, TREASURER & DIRECTOR 06/01/2005 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
HALSEY ASSOCIATES INC CHAIRMAN, TREASURER & DIRECTOR direct 2005-06-01
HALSEY ASSOCIATES, INC. PRESIDENT, DIRECTOR direct 2015-08-01
HALSEY ASSOCIATES INC PRESIDENT, SECRETARY & DIRECTOR direct 1997-04-01 2005-03-21
HALSEY ASSOCIATES INC CHAIRMAN, TREASURER & DIRECTOR direct 1997-04-01 2009-03-30
BEIRNE, THOMAS VICE PRESIDENT, SECRETARY & DIRECTOR 03/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
HALSEY ASSOCIATES INC VICE PRESIDENT & DIRECTOR direct 2008-03-01
HALSEY ASSOCIATES INC VICE PRESIDENT, SECRETARY & DIRECTOR direct 2008-03-01
HALSEY ASSOCIATES, INC. VICE PRESIDENT direct 2015-08-01
ELLIS, THOMAS, NELSON VICE PRESIDENT & DIRECTOR 10/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
HALSEY ASSOCIATES INC VICE PRESIDENT & DIRECTOR direct 2010-10-01
HALSEY ASSOCIATES, INC. VICE PRESIDENT direct 2015-08-01

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