Hedge Fund Database

HUDOCK CAPITAL GROUP

HUDOCK, INC. Legal Name

Adviser information for HUDOCK CAPITAL GROUP last updated from Form ADV on March 27th, 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 Corporation
Fiscal Year End DECEMBER
Legal Location Pennsylvania, United States

Employees

Total Number of Employees 14
Investment Advisory/Research 7
Registered Broker-Dealer Representatives 5
Registered State Investment Advisers 9
Licensed Agents of an Insurance Company 4
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 2,241 $694.1M
Non-Discretionary 140 $53.1M
Total 2,381 $747.2M

Clients

Type Number RAUM
Individuals 604 $179.7M
HNW Individuals 209 $537.2M
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 35 $26.0M
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 7 $4.4M
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 1
No. of Financial Planning Clients 0

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)
Compensation % of AUMHourly chargesFixed fees

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 0
Both for Same 747.2M
Portfolio Manager to Program Sponsor
HUDOCK CAPITAL GROUP WRAP FEE PROGRAM HUDOCK CAPITAL GROUP

Identifiers

SEC RIA File Number 801-70772
SEC ERA File Number 801-70772
SEC CIK Numbers 1543536
SEC CRD Numbers 149255
Legal Entity Identifier None

Principal Office

400 MARKET STREET
SUITE 200
WILLIAMSPORT
PA
United States
Monday - Friday, 8:30 A.M. - 5:00 P.M.
Tel: 570-326-9500, Fax: 570-326-9577

Websites

www.facebook.com/hudockcapitalgroup www.linkedin.com/company/hudock-capital-group-llc-/ www.hudockcapital.com

Chief Compliance Officer

WAYNE L. DIEFFENDERFER
400 MARKET STREET
SUITE 200
WILLIAMSPORT
PA
United States
Tel: 570-326-9500
Fax: 570-326-9577
(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
HUDOCK, BARBARA, BENNER Individual HUDOCK, INC. EMPLOYEE STOCK OWNERSHIP PLAN AND TRUST TRUSTEE 07/2019 50-75%
DIEFFENDERFER, WAYNE, LEY Individual – CHIEF COMPLIANCE OFFICER 03/2012 < 5%
HUDOCK, INC. EMPLOYEE STOCK OWNERSHIP PLAN AND TRUST Domestic Entity – OWNER 07/2019 > 75%
HUDOCK, MICHAEL, JOSEPH Individual HUDOCK, INC. EMPLOYEE STOCK OWNERSHIP PLAN AND TRUST TRUSTEE 07/2019 25-50%
HUDOCK, BARBARA, BENNER Individual – TRUSTEE COMMITTEE MEMBER 07/2019 < 5%
HUDOCK, MICHAEL, JOSEPH Individual – TRUSTEE COMMITTEE MEMBER 07/2019 < 5%

No. Employees, Historic

2010020192020202120222023202420259 on 5/29/20199 on 7/26/20199 on 7/26/20199 on 7/26/20199 on 8/22/20198 on 3/22/20208 on 5/5/20208 on 6/26/20208 on 11/12/20208 on 3/25/20218 on 3/26/202114 on 3/23/202214 on 3/27/202214 on 10/31/202214 on 2/14/202315 on 3/15/202315 on 3/16/202315 on 5/23/202315 on 11/5/202314 on 3/26/202414 on 3/27/2024

RAUM, Historic

800M400M02019202020212022202320242025454073032 on 5/29/2019454073032 on 7/26/2019454073032 on 7/26/2019454073032 on 7/26/2019454073032 on 8/22/2019518848012 on 3/22/2020518848012 on 5/5/2020518848012 on 6/26/2020518848012 on 11/12/2020636085452 on 3/25/2021636085452 on 3/26/2021732857277 on 3/23/2022732857277 on 3/27/2022732857277 on 10/31/2022732857277 on 2/14/2023633441793 on 3/15/2023633441793 on 3/16/2023633441793 on 5/23/2023633441793 on 11/5/2023747229946 on 3/26/2024747229946 on 3/27/2024

No. Clients, Historic

90045002019202020212022202320242025720 on 5/29/2019720 on 7/26/2019720 on 7/26/2019720 on 7/26/2019720 on 8/22/2019739 on 3/22/2020739 on 5/5/2020739 on 6/26/2020739 on 11/12/2020722 on 3/25/2021722 on 3/26/2021814 on 3/23/2022814 on 3/27/2022814 on 10/31/2022814 on 2/14/2023867 on 3/15/2023867 on 3/16/2023867 on 5/23/2023867 on 11/5/2023855 on 3/26/2024855 on 3/27/2024

Holdings

From latest 13F, filed August 2nd, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
3M CO COM 910K 9K –
ABBOTT LABS COM 338K 3K –
ABBVIE INC COM 382K 2K –
ADOBE INC COM 380K 684 –
ADVANCED MICRO DEVICES INC COM 508K 3K –
AIR PRODS & CHEMS INC COM 412K 2K –
ALIBABA GROUP HLDG LTD SPONSORED ADS 218K 3K –
ALPHABET INC CAP STK CL A 840K 5K –
ALPHABET INC CAP STK CL C 706K 4K –
ALPS ETF TR SECTR DIV DOGS 226K 4K –
AMAZON COM INC COM 1M 7K –
AMERICAN EXPRESS CO COM 262K 1K –
AMGEN INC COM 2M 6K –
AON PLC SHS CL A 506K 2K –
APPLE INC COM 7M 34K –
APPLIED MATLS INC COM 472K 2K –
ARM HOLDINGS PLC SPONSORED ADS 374K 2K –
ASTRAZENECA PLC SPONSORED ADR 281K 4K –
AT&T INC COM 631K 33K –
BANK AMERICA CORP COM 567K 14K –
BANK NEW YORK MELLON CORP COM 263K 4K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 10M 25K –
BILL HOLDINGS INC COM 231K 4K –
BLACKSTONE INC COM 2M 20K –
BRISTOL-MYERS SQUIBB CO COM 225K 5K –
BROADCOM INC COM 296K 184 –
CATERPILLAR INC COM 3M 10K –
CHEVRON CORP NEW COM 3M 19K –
CISCO SYS INC COM 1M 29K –
CITIZENS & NORTHN CORP COM 591K 33K –
CITIZENS FINL SVCS INC COM 2M 41K –
CLEVELAND-CLIFFS INC NEW COM 210K 14K –
COCA COLA CO COM 2M 27K –
COLGATE PALMOLIVE CO COM 309K 3K –
CONOCOPHILLIPS COM 276K 2K –
CONSTELLATION ENERGY CORP COM 237K 1K –
CORNING INC COM 310K 8K –
DATADOG INC CL A COM 451K 3K –
DISNEY WALT CO COM 276K 3K –
DNP SELECT INCOME FD INC COM 191K 23K –
DOMINION ENERGY INC COM 315K 6K –
DOW INC COM 1M 22K –
DRAFTKINGS INC NEW COM CL A 283K 7K –
DUKE ENERGY CORP NEW COM NEW 518K 5K –
EA SERIES TRUST US QUAN MOMENTUM 206K 4K –
EA SERIES TRUST GADSDN DYN MLT 428K 14K –
ELI LILLY & CO COM 3M 3K –
ENTERGY CORP NEW COM 424K 4K –
EQT CORP COM 239K 6K –
EVERGY INC COM 277K 5K –
EXXON MOBIL CORP COM 3M 26K –
FIDELITY COVINGTON TRUST ENHANCED LARGE 363K 12K –
GE AEROSPACE COM NEW 455K 3K –
GOLDMAN SACHS GROUP INC COM 1M 3K –
HECLA MNG CO COM 395K 82K –
HERSHEY CO COM 506K 3K –
HOME DEPOT INC COM 785K 2K –
HONEYWELL INTL INC COM 553K 3K –
ILLINOIS TOOL WKS INC COM 310K 1K –
INTEL CORP COM 457K 15K –
INTERNATIONAL BUSINESS MACHS COM 2M 12K –
INVESCO EXCH TRADED FD TR II NASDAQ 100 ETF 18M 92K –
INVESCO EXCH TRADED FD TR II KBW PPTY CASUT 240K 2K –
INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 211K 1K –
INVESCO EXCHANGE TRADED FD T S&P 500 GARP ETF 3M 29K –
INVESCO EXCHANGE TRADED FD T BUYBACK ACHIEV 336K 3K –
INVESCO QQQ TR UNIT SER 1 20M 42K –
ISHARES INC MSCI EMRG CHN 202K 3K –
ISHARES SILVER TR ISHARES 500K 19K –
ISHARES TR 0-5YR HI YL CP 5M 111K –
ISHARES TR MSCI USA ESG SLC 233K 2K –
ISHARES TR 7-10 YR TRSY BD 10M 104K –
ISHARES TR NATIONAL MUN ETF 9M 85K –
ISHARES TR US AER DEF ETF 461K 3K –
ISHARES TR CORE S&P MCP ETF 31M 537K –
ISHARES TR GLOBAL 100 ETF 5M 53K –
ISHARES TR CORE S&P TTL STK 5M 46K –
ISHARES TR CORE US AGGBD ET 20M 208K –
ISHARES TR CORE S&P500 ETF 68M 125K –
ISHARES TR CORE S&P SCP ETF 29M 275K –
ISHARES TR CORE S&P US GWT 17M 135K –
ISHARES TR 1 3 YR TREAS BD 4M 48K –
J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM 250K 4K –
J P MORGAN EXCHANGE TRADED F BETABLDRS 1-5YR 586K 12K –
J P MORGAN EXCHANGE TRADED F ULTRA SHRT INC 14M 270K –
JOHNSON & JOHNSON COM 2M 14K –
JPMORGAN CHASE & CO. COM 5M 23K –
LAM RESEARCH CORP COM 259K 243 –
LOCKHEED MARTIN CORP COM 826K 2K –
M & T BK CORP COM 2M 10K –
MARATHON PETE CORP COM 234K 1K –
MASTERCARD INCORPORATED CL A 387K 878 –
MCDONALDS CORP COM 565K 2K –
MERCK & CO INC COM 3M 27K –
META PLATFORMS INC CL A 691K 1K –
MICROSOFT CORP COM 6M 13K –
MORGAN STANLEY COM NEW 422K 4K –
NEXTERA ENERGY INC COM 756K 11K –
NOVO-NORDISK A S ADR 470K 3K –
NVIDIA CORPORATION COM 3M 23K –
ORACLE CORP COM 473K 3K –
PACER FDS TR US CASH COWS 100 16M 296K –
PACER FDS TR DATA AND INFRAST 502K 18K –
PALO ALTO NETWORKS INC COM 522K 2K –
PENNS WOODS BANCORP INC COM 2M 87K –
PEPSICO INC COM 1M 7K –
PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 162K 11K –
PFIZER INC COM 1M 49K –
PHILIP MORRIS INTL INC COM 280K 3K –
PIMCO ETF TR ENHAN SHRT MA AC 502K 5K –
PIMCO MUN INCOME FD COM 271K 30K –
PNC FINL SVCS GROUP INC COM 330K 2K –
PPL CORP COM 745K 27K –
PROCTER AND GAMBLE CO COM 2M 14K –
PROGRESSIVE CORP COM 328K 2K –
PRUDENTIAL FINL INC COM 458K 4K –
PUBLIC SVC ENTERPRISE GRP IN COM 365K 5K –
ROCKWELL AUTOMATION INC COM 250K 907 –
RTX CORPORATION COM 529K 5K –
SCHWAB STRATEGIC TR US LRG CAP ETF 352K 5K –
SCHWAB STRATEGIC TR US DIVIDEND EQ 28M 359K –
SCHWAB STRATEGIC TR US BRD MKT ETF 726K 12K –
SCHWAB STRATEGIC TR US LCAP GR ETF 314K 3K –
SELECT SECTOR SPDR TR SBI CONS STPLS 1M 16K –
SELECT SECTOR SPDR TR SBI INT-UTILS 1M 17K –
SELECT SECTOR SPDR TR INDL 257K 2K –
SELECT SECTOR SPDR TR SBI MATERIALS 279K 3K –
SELECT SECTOR SPDR TR SBI HEALTHCARE 2M 10K –
SELECT SECTOR SPDR TR RL EST SEL SEC 11M 289K –
SHELL PLC SPON ADS 219K 3K –
SMITH A O CORP COM 255K 3K –
SOFI TECHNOLOGIES INC COM 612K 93K –
SPDR DOW JONES INDL AVERAGE UT SER 1 3M 7K –
SPDR GOLD TR GOLD SHS 659K 3K –
SPDR INDEX SHS FDS GLB NAT RESRCE 244K 4K –
SPDR S&P 500 ETF TR TR UNIT 496K 912 –
SPROTT PHYSICAL SILVER TR TR UNIT 2M 179K –
TEXAS INSTRS INC COM 438K 2K –
THE CIGNA GROUP COM 228K 689 –
THERMO FISHER SCIENTIFIC INC COM 270K 487 –
UNION PAC CORP COM 404K 2K –
UNITED PARCEL SERVICE INC CL B 202K 1K –
UNITED RENTALS INC COM 367K 567 –
VANECK ETF TRUST SEMICONDUCTR ETF 4M 15K –
VANGUARD INDEX FDS TOTAL STK MKT 1M 4K –
VANGUARD INDEX FDS REAL ESTATE ETF 791K 9K –
VANGUARD INDEX FDS S&P 500 ETF SHS 7M 13K –
VANGUARD INDEX FDS VALUE ETF 2M 15K –
VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 256K 4K –
VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 483K 4K –
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 24M 550K –
VANGUARD MUN BD FDS TAX EXEMPT BD 469K 9K –
VANGUARD SCOTTSDALE FDS INT-TERM CORP 35M 442K –
VANGUARD STAR FDS VG TL INTL STK F 215K 4K –
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 18M 374K –
VANGUARD WORLD FD MEGA CAP VAL ETF 921K 8K –
VANGUARD WORLD FD INF TECH ETF 595K 1K –
VERIZON COMMUNICATIONS INC COM 2M 42K –
VERTIV HOLDINGS CO COM CL A 275K 3K –
VISA INC COM CL A 494K 2K –
WALMART INC COM 872K 13K –
WASTE MGMT INC DEL COM 496K 2K –
WEC ENERGY GROUP INC COM 391K 5K –
WELLS FARGO CO NEW COM 520K 9K –
WELLTOWER INC COM 263K 3K –
WISDOMTREE TR GLB HIGH DIV FD 3M 64K –