HENNESSY ADVISORS, INC.
Adviser information for HENNESSY ADVISORS, INC. last updated from Form ADV on December 15th, 2023. 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 | SEPTEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 17 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 2 |
| 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 | 17 | $3.1B |
| Non-Discretionary | 0 | $0 |
| Total | 17 | $3.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 17 | $3.1B |
| 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 investment companies |
|---|---|
| Compensation | % of AUM |
Principal Office
7250 REDWOOD BOULEVARDSUITE 200
NOVATO
CA
United States
8:00AM TO 4:00 PM MONDAY-THURSDAY, 8:00AM TO 2:00PM FRIDAY
Tel: 415-899-1555, Fax: 415-899-1559
Chief Compliance Officer
BRIAN C. CARLSON
SENIOR VICE PRESIDENT
7250 REDWOOD BOULEVARD
SUITE 200
NOVATO
CA
United States
Tel:
415-899-1555
Fax:
415-899-1559
B*******@****************M
(Full email address available in API data)
Regulatory Contact
TERESA M. NILSEN
PRESIDENT, CHIEF OPERATING OFFICER, SECRETARY, AND DIRECTOR
7250 REDWOOD BOULEVARD
SUITE 200
NOVATO
CA
United States
Tel:
415-899-1555
Fax:
415-899-1559
T****@****************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 |
|---|---|---|---|---|---|
| HENNESSY, NEIL, JOSEPH | Individual | – | CHAIRMAN, CHIEF EXECUTIVE OFFICER & SHAREHOLDER | 01/2018 | 25-50% |
| NILSEN, TERESA, MARIANI | Individual | – | PRESIDENT, CHIEF OPERATING OFFICER, CORPORATE SECRETARY, DIRECTOR & SHAREHOLDER | 01/2018 | < 5% |
| HENNESSY, BRIAN, ANTHONY | Individual | – | DIRECTOR & SHAREHOLDER | 02/1989 | < 5% |
| STEADMAN, DANIEL, BRUCE | Individual | – | EXECUTIVE VICE PRESIDENT AND SHAREHOLDER | 12/2022 | < 5% |
| SEAVEY, THOMAS, LAWRENCE | Individual | – | DIRECTOR & SHAREHOLDER | 05/2001 | < 5% |
| HANSEL, HENRY, CURTIS | Individual | – | DIRECTOR & SHAREHOLDER | 05/2001 | < 5% |
| EMERSON, JENNIFER, LYNN | Individual | – | GENERAL COUNSEL & SHAREHOLDER | 06/2013 | < 5% |
| POMILIA, SUSAN, WEBER | Individual | – | DIRECTOR & SHAREHOLDER | 04/2014 | < 5% |
| CARLSON, BRIAN, CAMERON | Individual | – | CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT & SHAREHOLDER | 01/2018 | < 5% |
| FAHY, KATHRYN, ROSE | Individual | – | CHIEF FINANCIAL OFFICER, SENIOR VICE PRESIDENT & SHAREHOLDER | 01/2018 | < 5% |
| Knight-O'Riordan, Lydia, Dawn | Individual | – | DIRECTOR & SHAREHOLDER | 12/2021 | < 5% |
| Newton, Kiera, Markale | Individual | – | DIRECTOR & SHAREHOLDER | 12/2022 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 23rd, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| 3M Co | COM | 7M | 67K | – |
| AbbVie Inc | COM | 5M | 31K | – |
| Abercrombie & Fitch Co | CL A | 89M | 502K | – |
| Algonquin Power & Utilities Corp | ADR | 636K | 109K | – |
| Alliant Energy Corp | COM | 2M | 32K | – |
| Allstate Corp/The | COM | 8M | 49K | – |
| Altria Group Inc | COM | 9M | 188K | – |
| Ameren Corp | COM | 3M | 43K | – |
| American Eagle Outfitters Inc | COM | 6M | 321K | – |
| American Woodmark Corp | COM | 7M | 84K | – |
| Amgen Inc | COM | 4M | 13K | – |
| Amneal Pharmaceuticals Inc | COM STK CL A | 9M | 1M | – |
| Antero Midstream Corp | COM | 5M | 338K | – |
| Antero Resources Corp | COM | 757K | 23K | – |
| Applied Industrial Technologies Inc | COM | 35M | 181K | – |
| Arlo Technologies Inc | COM | 138K | 11K | – |
| ASE Technology Holding Co Ltd | SPONSORED ADS | 131K | 11K | – |
| Associated Banc-Corp | COM | 3M | 135K | – |
| Assurant Inc | COM | 7M | 45K | – |
| AT&T Inc | COM | 6M | 315K | – |
| Atmos Energy Corp | COM | 22M | 188K | – |
| AutoZone Inc | COM | 3M | 1K | – |
| Avangrid Inc | COM | 3M | 86K | – |
| Avista Corp | COM | 899K | 26K | – |
| AZZ Inc | COM | 8M | 109K | – |
| Baker Hughes Co | COM | 6M | 164K | – |
| Banc of California Inc | COM | 3M | 220K | – |
| Bank of America Corp | COM | 8M | 194K | – |
| BankUnited Inc | COM | 3M | 90K | – |
| Banner Corp | COM | 3M | 62K | – |
| BCE Inc | ADR | 4M | 126K | – |
| Berkshire Hathaway Inc | COM | 1M | 3K | – |
| BERKSHIRE HATHAWAY INC - CL A | COM | 21M | 35 | – |
| Best Buy Co Inc | COM | 3M | 36K | – |
| Black Hills Corp | COM | 3M | 46K | – |
| Blue Bird Corp | COM | 12M | 219K | – |
| BP PLC | SPONSORED ADR | 5M | 148K | – |
| Bristol-Myers Squibb Co | COM | 4M | 102K | – |
| British American Tobacco PLC | SPONSORED ADR | 5M | 169K | – |
| Brookdale Senior Living Inc | COM | 9M | 1M | – |
| Brookline Bancorp Inc | COM | 3M | 320K | – |
| Builders FirstSource Inc | COM | 2M | 16K | – |
| California Resources Corp | COM STOCK | 27M | 510K | – |
| Canadian Natural Resources Ltd | COM | 6M | 177K | – |
| Capital One Financial Corp | COM | 831K | 6K | – |
| Carpenter Technology Corp | COM | 47M | 432K | – |
| Caterpillar Inc | COM | 3M | 9K | – |
| Celestica Inc | COM | 10M | 183K | – |
| Cellebrite DI Ltd | ORDINARY SHARES | 137K | 11K | – |
| Cencora Inc | COM | 3M | 12K | – |
| Cenovus Energy Inc | ADR | 6M | 322K | – |
| CenterPoint Energy Inc | COM | 14M | 440K | – |
| CF Industries Holdings Inc | COM | 3M | 34K | – |
| Charles Schwab Corp/The | COM | 884K | 12K | – |
| Cheniere Energy Inc | COM NEW | 30M | 174K | – |
| Cheniere Energy Partners LP | COM UNIT | 668K | 14K | – |
| Chesapeake Utilities Corp | COM | 3M | 29K | – |
| Chevron Corp | COM | 10M | 67K | – |
| Cimpress PLC | SHS EURO | 8M | 92K | – |
| Cinemark Holdings Inc | COM | 33M | 2M | – |
| Cisco Systems Inc | COM | 10M | 202K | – |
| Citigroup Inc | COM NEW | 8M | 122K | – |
| Citizens Financial Group Inc | COM | 685K | 19K | – |
| CMS Energy Corp | COM | 10M | 173K | – |
| Coca-Cola Co/The | COM | 10M | 153K | – |
| Coca-Cola Consolidated Inc | COM | 48M | 44K | – |
| Cognizant Technology Solutions Corp | CL A | 2M | 36K | – |
| Coinbase Global Inc | COM CL A | 1M | 6K | – |
| Columbia Banking System Inc | COM | 1M | 55K | – |
| Comcast Corp | CL A | 5M | 118K | – |
| Comfort Systems USA Inc | COM | 51M | 169K | – |
| Comstock Resources Inc | COM | 415K | 40K | – |
| ConnectOne Bancorp Inc | COM | 567K | 30K | – |
| ConocoPhillips | COM | 4M | 32K | – |
| CONSOL Energy Inc | COM | 28M | 279K | – |
| Consolidated Edison Inc | COM | 13M | 144K | – |
| CVS Health Corp | COM | 4M | 65K | – |
| Darden Restaurants Inc | COM | 3M | 17K | – |
| Dave & Buster's Entertainment Inc | COM | 5M | 130K | – |
| DAVITA INC | COM | 8M | 61K | – |
| Deere & Co | COM | 3M | 7K | – |
| Dell Technologies Inc | CL C | 14M | 104K | – |
| Devon Energy Corp | COM | 3M | 62K | – |
| Diamondback Energy Inc | COM | 825K | 4K | – |
| Dime Community Bancshares Inc | COM | 510K | 25K | – |
| Dollar General Corp | COM | 3M | 20K | – |
| Dominion Energy Inc | COM | 3M | 67K | – |
| Dow Inc | COM | 4M | 74K | – |
| DR Horton Inc | COM | 2M | 18K | – |
| Dream Finders Homes Inc | COM CL A | 5M | 196K | – |
| DT Midstream Inc | COMMON STOCK | 12M | 172K | – |
| DTE Energy Co | COM | 6M | 54K | – |
| Duke Energy Corp | COM NEW | 12M | 119K | – |
| Eastern Bankshares Inc | COM | 3M | 225K | – |
| EMCOR Group Inc | COM | 59M | 161K | – |
| Enbridge Inc | ADR | 21M | 604K | – |
| Energy Transfer LP | COM UT LTD PTN | 9M | 571K | – |
| EnLink Midstream LLC | COM UNIT REP LTD | 34M | 2M | – |
| Entergy Corp | COM | 360K | 3K | – |
| Enterprise Products Partners LP | COM | 8M | 260K | – |
| EOG Resources Inc | COM | 4M | 30K | – |
| EQT Corp | COM | 20M | 545K | – |
| Equinor ASA | SPONSORED ADR | 5M | 170K | – |
| EQUITABLE HLDGS INC COM | COM | 613K | 15K | – |
| Equitrans Midstream Corp | COM | 3M | 233K | – |
| Essential Utilities Inc | COM | 7M | 177K | – |
| Exelon Corp | COM | 5M | 152K | – |
| Extreme Networks Inc | COM | 148K | 11K | – |
| Exxon Mobil Corp | COM | 10M | 87K | – |
| Fifth Third Bancorp | COM | 693K | 19K | – |
| First BanCorp/Puerto Rico | COM NEW | 1M | 73K | – |
| First Citizens BancShares Inc/NC | CL A | 1M | 600 | – |
| Flowserve Corp | COM | 35M | 730K | – |
| Fluor Corp | COM | 35M | 805K | – |
| Flushing Financial Corp | COM | 1M | 80K | – |
| Ford Motor Co | COM | 5M | 437K | – |
| Forestar Group Inc | COM | 7M | 211K | – |
| Fortis Inc/Canada | COM | 5M | 122K | – |
| Freeport-McMoRan Inc | CL B | 701K | 14K | – |
| Gap Inc/The | COM | 73M | 3M | – |
| Genuine Parts Co | COM | 3M | 20K | – |
| Gilead Sciences Inc | COM | 4M | 60K | – |
| Goldman Sachs Group Inc/The | COM | 4M | 8K | – |
| Greenbrier Cos Inc/The | COM | 8M | 164K | – |
| Griffon Corp | COM | 7M | 116K | – |
| Group 1 Automotive Inc | COM | 32M | 109K | – |
| Groupon Inc | COM NEW | 11M | 711K | – |
| GSK PLC | SPONSORED ADR | 5M | 129K | – |
| Guess Inc | ADR | 33M | 2M | – |
| Halliburton Co | COM | 3M | 96K | – |
| Hancock Whitney Corp | COM | 2M | 45K | – |
| HCA Healthcare Inc | COM | 3M | 10K | – |
| Hershey Co/The | COM | 3M | 14K | – |
| Hingham Institution For Savings The | COM | 894K | 5K | – |
| HomeStreet Inc | COM | 1M | 125K | – |
| HomeTrust Bancshares Inc | COM | 3M | 105K | – |
| HP Inc | COM | 9M | 261K | – |
| HSBC Holdings PLC | SPON ADR NEW | 6M | 130K | – |
| IES Holdings Inc | COM | 10M | 69K | – |
| Independent Bank Corp | COM | 2M | 35K | – |
| Independent Bank Group Inc | COM | 228K | 5K | – |
| Interface Inc | COM | 7M | 506K | – |
| International Business Machines Corp | COM | 10M | 55K | – |
| Jabil Inc | COM | 2M | 22K | – |
| JELD-WEN Holding Inc | COM | 5M | 397K | – |
| Johnson & Johnson | COM | 8M | 55K | – |
| JPMORGAN CHASE & CO. | COM | 8M | 38K | – |
| Kenvue Inc | COM | 4M | 233K | – |
| Keurig Dr Pepper Inc | COM | 5M | 160K | – |
| KeyCorp | COM | 1M | 76K | – |
| Kimberly-Clark Corp | COM | 3M | 22K | – |
| Kinder Morgan Inc | COM | 24M | 1M | – |
| Koppers Holdings Inc | COM | 6M | 153K | – |
| Kraft Heinz Co/The | COM | 4M | 136K | – |
| Kroger Co/The | COM | 3M | 59K | – |
| Kyndryl Holdings Inc | COMMON STOCK | 49M | 2M | – |
| Lamb Weston Holdings Inc | COM | 2M | 25K | – |
| LendingTree Inc | COM | 8M | 202K | – |
| Liberty Energy Inc | COM CL A | 41M | 2M | – |
| Live Nation Entertainment Inc | COM | 8M | 81K | – |
| Lockheed Martin Corp | COM | 3M | 6K | – |
| Lowe's Cos Inc | COM | 3M | 12K | – |
| LPL Financial Holdings Inc | COM | 3M | 12K | – |
| M&T Bank Corp | COM | 1M | 8K | – |
| Manulife Financial Corp | ADR | 6M | 238K | – |
| Marathon Oil Corp | COM | 740K | 26K | – |
| Marathon Petroleum Corp | COM | 3M | 17K | – |
| Masco Corp | COM | 3M | 40K | – |
| Masterbrand Inc | COMMON STOCK | 7M | 457K | – |
| Mastercard Inc | CL A | 2M | 4K | – |
| McKesson Corp | COM | 3M | 6K | – |
| MDU Resources Group Inc | COM | 5M | 187K | – |
| Medtronic PLC | SHS | 5M | 59K | – |
| Merck & Co Inc | COM | 5M | 43K | – |
| Mercury General Corp | COM | 8M | 160K | – |
| Methode Electronics Inc | COM | 111K | 11K | – |
| MGE Energy Inc | COM | 738K | 10K | – |
| Microchip Technology Inc | COM | 3M | 33K | – |
| Midland States Bancorp Inc | COM | 2M | 68K | – |
| MillerKnoll Inc | COM | 31M | 1M | – |
| Modine Manufacturing Co | COM | 63M | 631K | – |
| Moog Inc | COM | 9M | 54K | – |
| Morgan Stanley | COM NEW | 7M | 70K | – |
| MPLX LP | COM UNIT REP LTD | 7M | 156K | – |
| MSC Industrial Direct Co Inc | CL A | 23M | 288K | – |
| National Fuel Gas Co | COM | 5M | 92K | – |
| National Grid PLC | SPONSORED ADR | 9M | 161K | – |
| NB Bancorp Inc | COM | 2M | 155K | – |
| NCR Atleos Corp | COM SHS | 15M | 544K | – |
| NCR Voyix Corp | COM | 14M | 1M | – |
| New Jersey Resources Corp | COM | 5M | 129K | – |
| New York Community Bancorp Inc | COM | 177K | 55K | – |
| NextEra Energy Inc | COM | 748K | 11K | – |
| NiSource Inc | COM | 12M | 424K | – |
| Northeast Community Bancorp Inc | COM | 1M | 63K | – |
| Northwest Natural Holding Co | COM | 2M | 55K | – |
| Northwestern Energy Group Inc | COM NEW | 956K | 19K | – |
| NOV Inc | COM | 371K | 20K | – |
| Nucor Corp | COM | 3M | 16K | – |
| NVR Inc | COM | 3M | 400 | – |
| Oceaneering International Inc | COM | 26M | 1M | – |
| OceanFirst Financial Corp | COM | 3M | 185K | – |
| Old National Bancorp/IN | COM | 2M | 123K | – |
| Omnicom Group Inc | COM | 3M | 30K | – |
| ON Semiconductor Corp | COM | 2M | 36K | – |
| ONE Gas Inc | COM | 6M | 89K | – |
| ONEOK Inc | COM | 27M | 334K | – |
| Orange County Bancorp Inc | COM | 2M | 35K | – |
| Oscar Health Inc | CL A | 9M | 572K | – |
| Oshkosh Corp | COM | 32M | 297K | – |
| PACCAR Inc | COM | 3M | 29K | – |
| Pacific Premier Bancorp Inc | COM | 3M | 120K | – |
| Par Pacific Holdings Inc | COM NEW | 21M | 818K | – |
| Parsons Corp | COM | 42M | 517K | – |
| PayPal Holdings Inc | COM | 1M | 22K | – |
| PBF Energy Inc | CL A | 26M | 565K | – |
| PepsiCo Inc | COM | 5M | 31K | – |
| Petroleo Brasileiro SA Petroleo | SPONSORED ADR | 5M | 315K | – |
| Pfizer Inc | COM | 5M | 180K | – |
| PG&E Corp | COM | 15M | 867K | – |
| Philip Morris International Inc | COM | 8M | 82K | – |
| Phillips 66 | COM | 494K | 4K | – |
| Plains All American Pipeline LP | UNIT LTD PARTN | 8M | 421K | – |
| Plains GP Holdings LP | LTD PARTNR INT A | 34M | 2M | – |
| PNC Financial Services Group Inc/The | COM | 1M | 9K | – |
| PPL Corp | COM | 3M | 112K | – |
| Procter & Gamble Co/The | COM | 6M | 34K | – |
| Provident Financial Services Inc | COM | 2M | 120K | – |
| Public Service Enterprise Group Inc | COM | 14M | 185K | – |
| PulteGroup Inc | COM | 3M | 26K | – |
| PVH Corp | COM | 7M | 67K | – |
| Quanex Building Products Corp | COM | 6M | 227K | – |
| REV Group Inc | COM | 10M | 383K | – |
| RGC Resources Inc | COM | 320K | 16K | – |
| Royal Bank of Canada | ADR | 5M | 51K | – |
| RTX Corp | COM | 6M | 60K | – |
| Schlumberger LTD | COM STK | 581K | 12K | – |
| Sempra | COM | 22M | 284K | – |
| Shell PLC | SPON ADS | 6M | 81K | – |
| SiriusPoint Ltd | COM | 8M | 652K | – |
| SMART Global Holdings Inc | SHS | 9M | 403K | – |
| Solaris Oilfield Infrastructure Inc | COM | 711K | 83K | – |
| Solventum Corp | COM | 356K | 7K | – |
| Southern California Bancorp | COM | 2M | 124K | – |
| Southern Co/The | COM | 21M | 273K | – |
| Southwest Gas Holdings Inc | COM | 6M | 88K | – |
| Spire Inc | COM | 4M | 64K | – |
| Sprouts Farmers Market Inc | COM | 67M | 804K | – |
| Starbucks Corp | COM | 4M | 55K | – |
| Steel Dynamics Inc | COM | 3M | 24K | – |
| Stellantis NV | ADR | 6M | 298K | – |
| Sterling Infrastructure Inc | COM | 46M | 389K | – |
| Stride Inc | COM | 9M | 133K | – |
| Suncor Energy Inc | ADR | 7M | 174K | – |
| Synchrony Financial | COM | 661K | 14K | – |
| Targa Resources Corp | COM | 2M | 16K | – |
| TC Energy Corp | ADR | 23M | 614K | – |
| TechnipFMC PLC | ADR | 9M | 336K | – |
| Telefonaktiebolaget LM Ericsson | ADR B SEK 10 | 148K | 24K | – |
| Tellurian Inc | COM | 433K | 625K | – |
| Tenaris SA | SPONSORED ADS | 305K | 10K | – |
| Tenet Healthcare Corp | COM | 11M | 81K | – |
| Teva Pharmaceutical Industries Ltd | ADR | 10M | 604K | – |
| Texas Capital Bancshares Inc | COM | 1M | 23K | – |
| Texas Instruments Inc | COM | 6M | 32K | – |
| Toll Brothers Inc | COM | 8M | 66K | – |
| Toronto-Dominion Bank/The | COM NEW | 5M | 85K | – |
| TotalEnergies SE | SPONSORED ADS | 5M | 78K | – |
| Tractor Supply Co | COM | 3M | 12K | – |
| TRUIST FINANCIAL CORP | COM | 855K | 22K | – |
| Turtle Beach Corp | COM | 7M | 489K | – |
| Tutor Perini Corp | COM | 12M | 568K | – |
| UGI Corp | COM | 3M | 112K | – |
| ULTA BEAUTY INC | COM | 2M | 6K | – |
| Ultrapar Participacoes SA | ADR | 6M | 2M | – |
| UMB Financial Corp | COM | 2M | 18K | – |
| Unilever PLC | SPON ADR NEW | 6M | 105K | – |
| United Microelectronics Corp | SPON ADR NEW | 137K | 16K | – |
| United Parcel Service Inc | CL B | 2M | 17K | – |
| United Rentals Inc | COM | 3M | 5K | – |
| Unitil Corp | COM | 777K | 15K | – |
| Universal Technical Institute Inc | COM | 9M | 574K | – |
| Urban Outfitters Inc | COM | 8M | 187K | – |
| US Bancorp | COM NEW | 556K | 14K | – |
| Valero Energy Corp | COM | 4M | 24K | – |
| Verizon Communications Inc | COM | 10M | 238K | – |
| Visa Inc | COM CL A | 2M | 6K | – |
| VSE Corp | COM | 9M | 106K | – |
| WaFd Inc | COM | 3M | 95K | – |
| Walgreens Boots Alliance Inc | COM | 2M | 205K | – |
| Webster Financial Corp | COM | 828K | 19K | – |
| WEC Energy Group Inc | COM | 14M | 177K | – |
| Wells Fargo & Co | COM | 8M | 129K | – |
| Western Midstream Partners LP | COM UNIT LP INT | 5M | 118K | – |
| Western New England Bancorp Inc | COM | 3M | 425K | – |
| Williams Cos Inc/The | COM | 4M | 90K | – |
| Williams-Sonoma Inc | COM | 4M | 13K | – |
| Wintrust Financial Corp | COM | 1M | 15K | – |
| Xcel Energy Inc | COM | 6M | 114K | – |
| XPO Inc | COM | 40M | 379K | – |