WOLFE RESEARCH ADVISORS, LLC
Adviser information for WOLFE RESEARCH ADVISORS, LLC last updated from Form ADV on March 28th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 150 |
|---|---|
| Investment Advisory/Research | 145 |
| Registered Broker-Dealer Representatives | 150 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 100 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 100 | $0 |
| Pension and profit sharing plans | 8 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 12 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 5 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 20 |
| No. of Non-U.S. Clients | 60 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Pension consulting servicesPublication of periodicals or newslettersRESEARCH REPORTS AND MODELS |
|---|---|
| Compensation | Subscription feesCOMMISSIONS TO AFFILIATED BROKER |
Identifiers
| SEC RIA File Number | 801-128154 |
|---|---|
| SEC ERA File Number | 801-128154 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 326717 |
| Legal Entity Identifier | None |
Principal Office
757 3RD AVENUE6TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9:00 AM EST TO 5:00 PM EST
Tel: 646-845-0700, Fax: None
Chief Compliance Officer
SANDRA PALLANTE
GENERAL COUNSEL
757 3RD AVENUE
6TH FL
NEW YORK
NY
United States
Tel:
646-845-0706
S********@****************M
(Full email address available in API data)
Industry Affiliates
| WOLFE RESEARCH SECURITIES | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WOLFE HOLDCO, LLC | Domestic Entity | – | SOLE OWNER | 08/2009 | > 75% |
| WOLFE, EDWARD, MARK | Individual | – | CEO | 08/2009 | < 5% |
| PALLANTE, SANDRA, MARIE | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2021 | < 5% |
| GANG, THOMAS, PAUL | Individual | – | CHIEF FINANCIAL OFFICER/ FINOP | 03/2021 | < 5% |
| WOLFE, EDWARD, MARK | Individual | WOLFE HOLDCO, LLC | OWNER | 08/2009 | > 75% |