MOLLOT & HARDY, INC.
Adviser information for MOLLOT & HARDY, INC. last updated from Form ADV on March 20th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 231 | $63.2M |
| Non-Discretionary | 5 | $14.6M |
| Total | 236 | $77.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 137 | $17.3M |
| HNW Individuals | 25 | $45.8M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 5 | $14.6M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesEducational seminars/workshops |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Insurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 3.7M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| THE MODEL PORTFOLIO PROGRAM | OSAIC WEALTH, INC. |
Identifiers
| SEC RIA File Number | 801-112787 |
|---|---|
| SEC ERA File Number | 801-112787 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 128377 |
| Legal Entity Identifier | None |
Principal Office
646 N. FRENCH RDSUITE 9
AMHERST
NY
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 716-691-7121, Fax: 716-691-7718
Chief Compliance Officer
ALAN R MOLLOT
PRESIDENT
646 N FRENCH RD
SUITE 9
AMHERST
NY
United States
Tel:
716 691 7121
Fax:
716 691 7718
A***@*********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MOLLOT, ALAN, RICHARD | Individual | – | PRESIDENT; CCO | 03/1972 | > 75% |