Hedge Fund Database

HOLLOW BROOK WEALTH MANAGEMENT LLC

Adviser information for HOLLOW BROOK WEALTH MANAGEMENT LLC last updated from Form ADV on March 29th, 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 13
Investment Advisory/Research 6
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 390 $486.2M
Non-Discretionary 66 $562.6M
Total 456 $1.0B

Clients

Type Number RAUM
Individuals 69 $11.8M
HNW Individuals 355 $950.5M
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 16 $31.5M
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 16 $55.0M
Other 0 $0
Type Number
No. of Non-RAUM Clients 5
No. of Non-U.S. Clients 2
No. of Financial Planning Clients 51-100

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)
Compensation % of AUMFixed feesPerformance-based fees

Identifiers

SEC RIA File Number 801-68599
SEC ERA File Number 801-68599
SEC CIK Numbers 1455251
SEC CRD Numbers 145521
Legal Entity Identifier None

Principal Office

152 BEDFORD ROAD
KATONAH
NY
United States
Monday - Friday, 8AM -6PM
Tel: 212-364-1848, Fax: 212-364-1849

Websites

www.hollowbrookllc.com/ www.hbwmllc.com www.linkedin.com/company/hollow-brook-wealth-management-llc www.facebook.com/hollow-brook-wealth-management-103478335316782

Chief Compliance Officer

PHILIP RICHTER
PRESIDENT
152 BEDFORD ROAD
KATONAH
NY
United States
Tel: 212-364-1840
Fax: 212-364-1849
(Full email address available in API data)

Regulatory Contact

ALAN BAZAAR
CHIEF EXECUTIVE OFFICER
152 BEDFORD ROAD
KATONAH
NY
United States
Tel: 212-364-1840
Fax: 212-364-1849
(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
NORDBERG, EDGAR, WAYNE Individual – CHAIRMAN 01/1999 < 5%
RICHTER, PHILIP, ERNST Individual – PRESIDENT / CCO 01/2014 50-75%
BAZAAR, ALAN, LEE Individual – CEO 01/2014 50-75%

No. Employees, Historic

20100201920202021202220232024202510 on 4/2/201912 on 3/27/202012 on 6/18/202012 on 3/29/202113 on 3/30/202213 on 8/25/202213 on 3/29/202313 on 5/30/202313 on 3/29/2024

RAUM, Historic

2B1B02019202020212022202320242025743600000 on 4/2/2019934900000 on 3/27/2020934900000 on 6/18/2020721414657 on 3/29/2021898479178 on 3/30/2022898479178 on 8/25/2022956571257 on 3/29/2023956571257 on 5/30/20231048780026 on 3/29/2024

No. Clients, Historic

50025002019202020212022202320242025229 on 4/2/2019252 on 3/27/2020252 on 6/18/2020278 on 3/29/2021287 on 3/30/2022287 on 8/25/2022387 on 3/29/2023387 on 5/30/2023456 on 3/29/2024

Holdings

From latest 13F, filed August 13th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBOTT LABS COM 3M 25K –
ABBVIE INC COM 536K 3K –
ACCENTURE PLC IRELAND SHS CLASS A 3M 11K –
AES CORP COM 4M 244K –
AFLAC INC COM 5M 61K –
ALPHABET INC CAP STK CL A 8M 45K –
ALPHABET INC CAP STK CL C 2M 12K –
AMAZON COM INC COM 3M 14K –
AMERICAN ELEC PWR CO INC COM 5M 61K –
AMGEN INC COM 369K 1K –
APPLE INC COM 12M 56K –
APPLIED MATLS INC COM 954K 4K –
ASML HOLDING N V N Y REGISTRY SHS 3M 3K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 17M 42K –
BROADCOM INC COM 244K 152 –
CARMAX INC COM 2M 28K –
CENTRUS ENERGY CORP CL A 2M 37K –
CHART INDS INC COM 5M 34K –
CHEVRON CORP NEW COM 7M 45K –
CLOROX CO DEL COM 234K 2K –
COCA COLA CO COM 464K 7K –
COLGATE PALMOLIVE CO COM 388K 4K –
COMPLETE SOLARIA INC COM 43K 38K –
CONSTELLATION ENERGY CORP COM 6M 32K –
CRH PLC ORD 2M 27K –
DONALDSON INC COM 1M 17K –
ELI LILLY & CO COM 235K 260 –
ENCOMPASS HEALTH CORP COM 1M 16K –
ENERGY TRANSFER L P COM UT LTD PTN 235K 14K –
ENTERPRISE PRODS PARTNERS L COM 6M 194K –
EQUINOR ASA SPONSORED ADR 2M 81K –
EXXON MOBIL CORP COM 6M 49K –
FLOOR & DECOR HLDGS INC CL A 2M 20K –
GILEAD SCIENCES INC COM 247K 4K –
INVESCO EXCHANGE TRADED FD T AEROSPACE DEFN 7M 66K –
ISHARES TR LATN AMER 40 ETF 3M 124K –
ISHARES TR S&P 100 ETF 1M 4K –
ISHARES TR CORE S&P MCP ETF 963K 16K –
ISHARES TR CORE S&P500 ETF 4M 8K –
ISHARES TR CORE S&P SCP ETF 459K 4K –
ISHARES TR MSCI USA QLT FCT 256K 1K –
ISHARES TR 1 3 YR TREAS BD 2M 28K –
ISHARES TR 20 YR TR BD ETF 6M 64K –
JOHNSON & JOHNSON COM 7M 49K –
JPMORGAN CHASE & CO. COM 2M 10K –
MERCK & CO INC COM 437K 4K –
MICROSOFT CORP COM 16M 36K –
MIRION TECHNOLOGIES INC COM CL A 2M 208K –
NOVARTIS AG SPONSORED ADR 403K 4K –
NOVO-NORDISK A S ADR 3M 19K –
PALO ALTO NETWORKS INC COM 603K 2K –
PEPSICO INC COM 829K 5K –
PFIZER INC COM 2M 63K –
PLANET FITNESS INC CL A 2M 22K –
PNC FINL SVCS GROUP INC COM 235K 2K –
PROCTER AND GAMBLE CO COM 11M 68K –
QUANTA SVCS INC COM 4M 18K –
REAVES UTIL INCOME FD COM SH BEN INT 236K 9K –
SAP SE SPON ADR 4M 21K –
SELECT SECTOR SPDR TR SBI INT-UTILS 7M 96K –
SELECT SECTOR SPDR TR ENERGY 7M 77K –
SPDR GOLD TR GOLD SHS 4M 17K –
SPDR INDEX SHS FDS S&P NORTH AMER 3M 54K –
SPDR S&P 500 ETF TR TR UNIT 848K 2K –
SPDR SER TR S&P BIOTECH 2M 21K –
TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 1M 7K –
TJX COS INC NEW COM 248K 2K –
TOTALENERGIES SE SPONSORED ADS 3M 46K –
UNION PAC CORP COM 414K 2K –
VANECK ETF TRUST OIL SERVICES ETF 7M 23K –
VANGUARD SCOTTSDALE FDS VNG RUS1000VAL 437K 6K –
VERISK ANALYTICS INC COM 5M 17K –
VERTIV HOLDINGS CO COM CL A 4M 41K –
VISA INC COM CL A 223K 851 –
WALMART INC COM 4M 55K –
WESTERN MIDSTREAM PARTNERS L COM UNIT LP INT 226K 6K –
WORLD GOLD TR SPDR GLD MINIS 53M 1M –