HOOKER & HOLCOMBE INVESTMENT ADVISORS, INC.
Adviser information for HOOKER & HOLCOMBE INVESTMENT ADVISORS, INC. last updated from Form ADV on October 6th, 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 | DECEMBER |
| Legal Location | Connecticut, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 5 |
| 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 | 42 | $241.9M |
| Non-Discretionary | 30 | $235.6M |
| Total | 72 | $477.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 5 | $10.8M |
| 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 | 21 | $261.1M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 46 | $205.6M |
| 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 | 82 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)Publication of periodicals or newslettersEducational seminars/workshopsRFP AND AUDITING SERVICES |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-61958 |
|---|---|
| SEC ERA File Number | 801-61958 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 125791 |
| Legal Entity Identifier | None |
Principal Office
95 GLASTONBURY BLVDSUITE 102
GLASTONBURY
CT
United States
Monday - Friday, 8:30 AM - 5:00 PM
Tel: 860-521-8400, Fax: 860-521-3742
Websites
Chief Compliance Officer
BRIAN KULIK
DIRECTOR OF OPERATIONS
95 GLASTONBURY BLVD
SUITE 102
GLASTONBURY
CT
United States
Tel:
860-856-2074
Fax:
860-521-3742
B**********@******M
(Full email address available in API data)
Regulatory Contact
PAMELA MINISH
VICE PRESIDENT, MANAGING DIRECTOR
95 GLASTONBURY BLVD
SUITE 102
GLASTONBURY
CT
United States
Tel:
860-856-2084
Fax:
860-521-3742
P*********@******M
(Full email address available in API data)
Industry Affiliates
| HOOKER & HOLCOMBE, INC. | Pension consultant |
| USI ADVISORS | Other investment adviser, including financial plannersPension consultant |
| USI CONSULTING GROUP | Insurance company or agencyPension consultant |
| USI SECURITIES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HOOKER & HOLCOMBE, INC. | Domestic Entity | – | SOLE SHAREHOLDER | 08/1996 | > 75% |
| METZGER, RODGER, KARL | Individual | – | PRESIDENT, CHIEF INVESTMENT OFFICER, CHAIRMAN | 01/2012 | < 5% |
| SYCH, RICHARD | Individual | – | DIRECTOR | 07/2011 | < 5% |
| Minish, Pamela, E | Individual | – | DIRECTOR | 06/2020 | < 5% |
| KULIK, BRIAN | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2022 | < 5% |
| KULIK, BRIAN | Individual | – | SECRETARY AND TREASURER | 06/2021 | < 5% |