HAYDEN ROYAL, LLC

HTTP://WWW.3GWEALTH.COM CHARLOTTE, NC Investment Advisor How do I update this listing?

Also known as:

  • GREAT LAKES & ATLANTIC WEALTH MANAGEMENT & ADVISORY PARTNERS LLC

Hayden Royal is based out of Charlotte. Hayden Royal is a large advisory firm with 3302 clients and discretionary assets under management (AUM) of $613,236,585 (Form ADV from 2018-11-05). Their last reported 13F filing for Q1 2019 included $76,700,000 in managed 13F securities and a top 10 holdings concentration of 28.76%. Hayden Royal's largest holding is Apple Inc with shares held of 21,624. Whalewisdom has at least 2 13F filings

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03/31/2019

13F Sector Allocation Over Time

03/31/2019

13F Activity

  • Market Value $76.7 Million
  • Prior Market Value $195.817 Million
  • New Purchases28 stocks
  • Additional Purchases21 stocks
  • Sold out of105 stocks
  • Reduced holdings in70 stocks
  • Top 10 Holdings % 28.76 %
  • Turnover % [1]:109.92%
  • Turnover Alt % [2]: 186.11 %
  • Time Held Top20:0.30 quarters
  • Time Held Top10:0.20 quarters
  • Time Held All:0.77 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 2019-02-14

Performance for Q4 2018: 2.07%
Performance Last 4 Quarters: 0.0%
Performance Metrics
Stats are not available for the latest quarter

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13F Filings Available:
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

HAYDEN ROYAL
4201 CONGRESS STREET SUITE 420
CHARLOTTE NC    28209
Country: United States

Business Phone: 7049190439
Fax:
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: NC
Number of employees: 29
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management
Amount of client funds and securities:
Total Number of Clients: 3302
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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Form 4 - Recent Insider Transactions

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HAYDEN ROYAL, LLC

ownership team - last updated 2019-02-08
Name Title Start Date Direct/Indirect % Ownership
Brown, Doug, G MEMBER/OWNER 05/01/2016 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
GREAT LAKES & ATLANTIC WEALTH MANAGEMENT AND ADVISORY PARTNERS MEMBER/OWNER direct 2016-05-01
HINES, JEFFREY, RANDALL MEMBER/OWNER 05/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GREAT LAKES & ATLANTIC WEALTH MANAGEMENT AND ADVISORY PARTNERS MEMBER/OWNER direct 2016-05-01
AUGUSTINE ASSET MANAGEMENT INC SENIOR VICE PRESIDENT-FIXED INCOME direct 1999-04-01 2002-06-19
SOVEREIGN HOLDINGS LLC PRESIDENT/CCO direct 1997-01-01 2006-02-10
SOVEREIGN HOLDINGS LLC PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1997-01-01 2007-01-24
SOVEREIGN HOLDINGS LLC PRESIDENT/CHIEF COMPLIANCE OFFICER, ELECTED MANAGER direct 1997-01-01 2008-03-31
SOVEREIGN HOLDINGS LLC PRESIDENT/ ELECTED MANAGER direct 1997-01-01 2008-10-15
SOVEREIGN HOLDINGS LLC PRESIDENT direct 1997-01-01 2009-07-13
DWORSKY, LOUIS, DAVID CHIEF EXECUTIVE OFFICER 11/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
THOMPSON DAVIS & CO., INC. CO CEO direct 2014-08-01
THOMPSON DAVIS & CO., INC. REGISTERED INVESTMENT ADVISOR direct 2014-09-01
MORSE CAPITAL PARTNERS, LLC MANAGING DIRECTOR direct 2016-12-01
OCEANSIDE SECURITIES, LLC PRESIDENT & MANAGING MEMBER direct 2016-08-01
ZERMATT HOLDINGS, LLC MEMBER 05/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
HAYDEN ROYAL, LLC MEMBER direct 2018-05-01
LANGLEY, BRIAN, SCOTT MEMBER/OWNER 06/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
HAYDEN ROYAL, LLC MEMBER/OWNER direct 2018-06-01
WESTBROOK, SARAH, MARGARET CCO 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
AMERICAN SECURITIES GROUP, INC. MUNI PRINICIPAL/OPTIONS PRINCIPAL direct 2009-04-01
AMERICAN SECURITIES GROUP, INC. CHIEF COMPLIANCE OFFICER /PRESIDENT/OPTIONS PRINCIPAL/MUNI PRINCIPAL/ FINOP direct 2009-10-01
AMERICAN SECURITIES GROUP, INC. CHIEF COMPLIANCE OFFICER /PRESIDENT/OPTIONS PRINCIPAL/MUNI PRINCIPAL direct 2009-10-01
FOUNDERS FINANCIAL SECURITIES, LLC CHIEF COMPLIANCE OFFICER direct 2014-01-01
CAPITAL INVESTMENT OPPORTUNITIES, LLC MEMBER 02/01/2018 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
HAYDEN ROYAL, LLC MEMBER direct 2018-02-01
DWORSKY, LOUIS, DAVID MEMBER ZERMATT HOLDINGS, LLC 01/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
THOMPSON DAVIS & CO., INC. CO CEO direct 2014-08-01
THOMPSON DAVIS & CO., INC. REGISTERED INVESTMENT ADVISOR direct 2014-09-01
MORSE CAPITAL PARTNERS, LLC MANAGING DIRECTOR direct 2016-12-01
OCEANSIDE SECURITIES, LLC PRESIDENT & MANAGING MEMBER direct 2016-08-01
Mayes, Ralph, Thomas MEMBER ZERMATT HOLDINGS, LLC 01/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
BLUEPRINT INVESTMENT PARTNERS LLC PARTNER direct 2016-10-01
DWORSKY, MEYER MEMBER ZERMATT HOLDINGS, LLC 01/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
HAYDEN ROYAL, LLC MEMBER indirect 2018-01-01
HINES, JEFFREY, RANDALL MEMBER CAPITAL INVESTMENT OPPORTUNITIES, LLC 02/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
GREAT LAKES & ATLANTIC WEALTH MANAGEMENT AND ADVISORY PARTNERS MEMBER/OWNER direct 2016-05-01
AUGUSTINE ASSET MANAGEMENT INC SENIOR VICE PRESIDENT-FIXED INCOME direct 1999-04-01 2002-06-19
SOVEREIGN HOLDINGS LLC PRESIDENT/CCO direct 1997-01-01 2006-02-10
SOVEREIGN HOLDINGS LLC PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1997-01-01 2007-01-24
SOVEREIGN HOLDINGS LLC PRESIDENT/CHIEF COMPLIANCE OFFICER, ELECTED MANAGER direct 1997-01-01 2008-03-31
SOVEREIGN HOLDINGS LLC PRESIDENT/ ELECTED MANAGER direct 1997-01-01 2008-10-15
SOVEREIGN HOLDINGS LLC PRESIDENT direct 1997-01-01 2009-07-13
Brown, Doug, G MEMBER CAPITAL INVESTMENT OPPORTUNITIES, LLC 02/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
GREAT LAKES & ATLANTIC WEALTH MANAGEMENT AND ADVISORY PARTNERS MEMBER/OWNER direct 2016-05-01

HAYDEN ROYAL, LLC

ownership team - last updated 2018-11-05
Name Title Start Date Direct/Indirect % Ownership
HINES, JUSTIN, MICHAEL CCO 11/01/2015 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
GREAT LAKES & ATLANTIC WEALTH MANAGEMENT AND ADVISORY PARTNERS CCO direct 2015-11-01
Brown, Doug, G MEMBER/OWNER 05/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GREAT LAKES & ATLANTIC WEALTH MANAGEMENT AND ADVISORY PARTNERS MEMBER/OWNER direct 2016-05-01
HINES, JEFFREY, RANDALL MEMBER/OWNER 05/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GREAT LAKES & ATLANTIC WEALTH MANAGEMENT AND ADVISORY PARTNERS MEMBER/OWNER direct 2016-05-01
AUGUSTINE ASSET MANAGEMENT INC SENIOR VICE PRESIDENT-FIXED INCOME direct 1999-04-01 2002-06-19
SOVEREIGN HOLDINGS LLC PRESIDENT/CCO direct 1997-01-01 2006-02-10
SOVEREIGN HOLDINGS LLC PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1997-01-01 2007-01-24
SOVEREIGN HOLDINGS LLC PRESIDENT/CHIEF COMPLIANCE OFFICER, ELECTED MANAGER direct 1997-01-01 2008-03-31
SOVEREIGN HOLDINGS LLC PRESIDENT/ ELECTED MANAGER direct 1997-01-01 2008-10-15
SOVEREIGN HOLDINGS LLC PRESIDENT direct 1997-01-01 2009-07-13
DWORSKY, LOUIS, DAVID CHIEF EXECUTIVE OFFICER 11/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
THOMPSON DAVIS & CO., INC. CO CEO direct 2014-08-01
THOMPSON DAVIS & CO., INC. REGISTERED INVESTMENT ADVISOR direct 2014-09-01
MORSE CAPITAL PARTNERS, LLC MANAGING DIRECTOR direct 2016-12-01
OCEANSIDE SECURITIES, LLC PRESIDENT & MANAGING MEMBER direct 2016-08-01
ZERMATT HOLDINGS, LLC MEMBER 05/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
HAYDEN ROYAL, LLC MEMBER direct 2018-05-01
LANGLEY, BRIAN, SCOTT MEMBER/OWNER 06/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
HAYDEN ROYAL, LLC MEMBER/OWNER direct 2018-06-01
OLIVER, BRANDON, CHRISTOPHER MEMBER/OWNER 06/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
HAYDEN ROYAL, LLC MEMBER/OWNER direct 2018-06-01

HAYDEN ROYAL, LLC

ownership team - last updated 2018-06-05
Name Title Start Date Direct/Indirect % Ownership
HINES, JUSTIN, MICHAEL CCO 11/01/2015 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
GREAT LAKES & ATLANTIC WEALTH MANAGEMENT AND ADVISORY PARTNERS CCO direct 2015-11-01
Brown, Doug, G MEMBER/OWNER 05/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GREAT LAKES & ATLANTIC WEALTH MANAGEMENT AND ADVISORY PARTNERS MEMBER/OWNER direct 2016-05-01
HINES, JEFFREY, RANDALL MEMBER/OWNER 05/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GREAT LAKES & ATLANTIC WEALTH MANAGEMENT AND ADVISORY PARTNERS MEMBER/OWNER direct 2016-05-01
AUGUSTINE ASSET MANAGEMENT INC SENIOR VICE PRESIDENT-FIXED INCOME direct 1999-04-01 2002-06-19
SOVEREIGN HOLDINGS LLC PRESIDENT/CCO direct 1997-01-01 2006-02-10
SOVEREIGN HOLDINGS LLC PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1997-01-01 2007-01-24
SOVEREIGN HOLDINGS LLC PRESIDENT/CHIEF COMPLIANCE OFFICER, ELECTED MANAGER direct 1997-01-01 2008-03-31
SOVEREIGN HOLDINGS LLC PRESIDENT/ ELECTED MANAGER direct 1997-01-01 2008-10-15
SOVEREIGN HOLDINGS LLC PRESIDENT direct 1997-01-01 2009-07-13
DWORSKY, LOUIS, DAVID CHIEF EXECUTIVE OFFICER 11/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
THOMPSON DAVIS & CO., INC. CO CEO direct 2014-08-01
THOMPSON DAVIS & CO., INC. REGISTERED INVESTMENT ADVISOR direct 2014-09-01
MORSE CAPITAL PARTNERS, LLC MANAGING DIRECTOR direct 2016-12-01
OCEANSIDE SECURITIES, LLC PRESIDENT & MANAGING MEMBER direct 2016-08-01
ZERMATT HOLDINGS, LLC MEMBER 05/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
HAYDEN ROYAL, LLC MEMBER direct 2018-05-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
EVERGLADES GLOBAL OPPORTUNITIES FUND LP United States 805-8831374826 Hedge Fund 5,059,156 250,000

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