Dan Hassey Investment Advisory

Based on its name and structure, the firm almost certainly operates as a state- or state-registered investment advisor (RIA), which is the standard regulatory designation for firms offering personalized portfolio management for a fee in the United States. Without a published ADV filing online, the exact registration status and any corresponding state regulator cannot be confirmed. Clients can verify active registration through the SEC's Investment Adviser Public Disclosure (IAPD) database.

Dan Hassey, as founder and named principal, is the presumed lead for all investment policy, asset allocation, and security selection decisions. An eponymous firm of this size rarely delegates investment discretion to an unnamed committee or external model provider. The absence of a published team reinforces that the investment function is entirely centered on the founder.

The firm does not publish its custody arrangement, but standard practice for an independent RIA is to use a third-party qualified custodian such as Charles Schwab, Fidelity, or Pershing. This separation of custody from advisory ensures client assets are held independently and can be verified directly through the custodian's statements.