H
Haleakala Investment Advisors
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$0
Total clients
1
0% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
1
Average account size
$0
About
Haleakala Investment Advisors is an independent, single-advisor firm that provides arbitrage consulting to qualified, accredited and institutional clients seeking opportunities in direct stock purchase and dividend reinvestment plans (DRIP/DSPP). Services are delivered on a non-discretionary, transaction-by-transaction basis and the firm requires a minimum account threshold of $1,000,000 for its arbitrage engagements.
The firm works by identifying issuer waiver opportunities and guiding clients through the waiver request and execution process with the client’s chosen custodian, using a mix of technical, fundamental and cyclical analysis and occasional short-term trading to capture small discounted purchase windows. Compensation is performance-based—up to 20% of net profits on the specific arbitrage transaction—payable only after profits exceed the prior high-water mark, rather than a traditional percentage-of‑AUM fee.
Compared with peers, Haleakala’s model is unusual for an independent adviser because it relies on performance fees and explicitly does not offer portfolio management for individual (non‑HNW) clients or charge standard percentage‑of‑assets fees; the firm also reports no regulatory assets under management and does not accept discretionary authority or custody of client assets. The advisory work is transaction-focused and can result in concentrated positions, and clients do not receive routine ongoing account reviews unless they request further consultation.
Client services
Arbitrage consulting services
Expertise
Concentrated stock management
Occupation focus
Executive
Fee options
Up to 20% of net profits on arbitrage transactions with a high water mark; performance fees charged only to Qualified Clients
Account minimum: $1,000,000 Minimum fee: Retainer not exceeding $500 when services cannot be rendered within 6 months
Main office location
Haleakala Investment Advisors
Los Angeles CA, United States
Number of offices
1
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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