HOFFMAN, ALAN N. INVESTMENT MANAGEMENT
HOFFMAN ALAN NATHAN Legal Name
Adviser information for HOFFMAN, ALAN N. INVESTMENT MANAGEMENT last updated from Form ADV on January 12th, 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 | Sole Proprietorship |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Massachusetts, United States |
Employees
| Total Number of Employees | 1 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 145 | $184.2M |
| Non-Discretionary | 0 | $0 |
| Total | 145 | $184.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 37 | $11.7M |
| HNW Individuals | 43 | $172.5M |
| 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 | 0 | $0 |
| 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 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-118227 |
|---|---|
| SEC ERA File Number | 801-118227 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 109454 |
| Legal Entity Identifier | None |
Principal Office
40 WILLIAM ST., UNIT 604WELLESLEY
MA
United States
Monday - Friday, BY APPOINTMENT ONLY
Tel: 617-308-5087, Fax: None
Chief Compliance Officer
ALAN N. HOFFMAN
OWNER/INVESTMENT ADVISOR REPRESENTATIVE
40 WILLIAM ST., UNIT 604
WELLESLEY
MA
United States
Tel:
617-308-5087
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 |
|---|---|---|---|---|---|
| HOFFMAN, ALAN, NATHAN | Individual | – | OWNER/INVESTMENT ADVISOR REPRESENTATIVE/CHIEF COMPLIANCE OFFICER | 07/1994 | > 75% |