Hub International Investment Advisory Services Inc. (Concord)

Hub International Investment Advisory Services Inc. is a pension cosultant based in Concord. It manages $643.47 million of regulatory assets for 30 client accounts. It has been registered with the SEC as an adviser since 2017 and has operated in the jurisdictions of California, Florida, Illinois, and 3 other states.

Hub International Investment Advisory Services provides pension consulting services, educational seminars and workshops, and corporate retirement plan consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Hub International Investment Advisory Services: assets under management

The assets under management (AUM) of Hub International Investment Advisory Services Inc. is $643.47 million. The company doesn't manage any assets belonging to foreign clients.

Investments

The firm invests in investment and business development companies the most. They account for 92% of the total AUM. The second-largest asset type is exchange traded securities, which make up 5% of the firm’s portfolio. Investments in cash and cash equivalents form 3% of the total invested assets.

What kind of clients Darren Dennis Caesar serves?

The only and largest group of clients of Darren Dennis Caesar is pension and profit sharing plans with 30 clients and $643.47 million of assets under management. Among the 7 most similar advisory firms, Hub International Investment Advisory Services has the highest percentage of pension and profit sharing plans out of all clients.

The amount of regulatory assets under management is $643.47 million for 30 clients. None of the firm’s clients are foreign persons or businesses.

Hub International Investment Advisory Services doesn't advise any private funds.

Careers at Hub International Investment Advisory Services Inc.

The company employs 5 people that are either part- or full-time employees. 80 percent of the employees work as investment advisers or researchers. 5 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Darren Dennis Caesar has been acting as President since 1 Sep 2017. Jill Christine Raymond joined the executive team most recently as the Sectrtary.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Hub International Limited	Sole shareholder	1 Sep 2017	75% - 100%	75-3243028
Darren Dennis Caesar	Director	1 Sep 2017	Other	5796878
Elisabeth Marie Mays	Chief compliance officer	1 Sep 2017	Other	1265976
David Andrew Reich	President	1 Sep 2017	Other	4787396
Michael Joseph Barone	Director	1 Sep 2017	Other	6621608
John Merritt Albright	Director	1 Sep 2017	Other	6718751
John Patrick Mcgrath	Director	1 Sep 2017	Other	6827287
Darren D Caesar	Director	1 Sep 2017	Other	5796878
Jill Christine Raymond	Sectrtary	1 Sep 2018	Other	3141781

Indirect Owners

The SEC currently registers 12 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Hockey Intermediate Inc.	Shareholder	1 Oct 2013	75% - 100%	80-0951815
Hockey Parent Inc.	Member	1 Oct 2013	75% - 100%	46-3406642
Hockey Investments L.P.	Limited partner	1 Oct 2013	75% - 100%	30-0794036
Llc Hockey Parent Holdings Gp	General partner	1 Oct 2013	Other	46-3710421
Llc Hub Holdings	Shareholder	1 Oct 2013	75% - 100%	61-1740650
Hockey Parent Holdings L.P.	Shareholder	1 Oct 2013	75% - 100%	35-2489369
L.P. Hellman & Friedman Capital Partners Vii	Limited partner	1 Oct 2013	25% - 50%	98-0611116
Llc Hockey Investments Gp	General partner	1 Oct 2013	Other	46-3343993
L.P. Hellman & Friedman Capital Partners Vii (Parallel)	Member	1 Oct 2013	25% - 50%	98-0611117
L.P Hellman & Friedman Investors Vii	General partner	1 Oct 2013	Other	98-0611123
L.P. Hellman & Friedman Investors Vii	General partner	1 Oct 2013	Other	98-0611123
Ltd H&F Corporate Investors Vii	General partner	1 Oct 2013	Other	98-0611118

Based in Concord

The principal office where Hub International Investment Advisory Services Inc. performs its advisory services is located at 2300 Clayton Road, Suite 300, Concord, CA 94520, which is also the mailing address of the firm. An additional office of the firm is in Dallas, TX. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 805-879-9536 or by fax 888-373-6024. The normal business hours are 9:00 to 5:00 on Monday - Friday.