HNP CAPITAL LLC

Advisory Business

Type of Organization	Limited Liability Company
Fiscal Year End	DECEMBER
Legal Location	New York, United States

Employees

Total Number of Employees	14
Investment Advisory/Research	12
Registered Broker-Dealer Representatives	7
Registered State Investment Advisers	12
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	2,891	$669.4M
Non-Discretionary	120	$98.9M
Total	3,011	$768.2M

Clients

Type	Number	RAUM
Individuals	1,999	$231.3M
HNW Individuals	182	$326.0M
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	59	$178.4M
Charitable organizations	6	$2.8M
State or municipal gov entities	1	$7.9M
Other investment advisers	0	$0
Insurance companies	0	$0
Sovereign wealth funds and foreign official institutions	0	$0
Corporations or other businesses	12	$21.8M
Other	0	$0

Type	Number
No. of Non-RAUM Clients	0
No. of Non-U.S. Clients	0
No. of Financial Planning Clients	1-10

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients
Compensation	% of AUMHourly chargesFixed fees

Wrap Fee Program

Offers Wrap Fee Program	Yes

Acting As	RAUM
Sponsor	0
Portfolio Manager	7.8M
Both for Same	0

Portfolio Manager to Program	Sponsor
BETTERMENT	BETTERMENT

Identifiers

SEC RIA File Number	801-70200
SEC ERA File Number	801-70200
SEC CIK Numbers	1767841
SEC CRD Numbers	150333
Legal Entity Identifier	None

Principal Office

100 CHESTNUT ST., 15TH FLOOR
ROCHESTER
NY
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic