HAMMOND, KENNEDY, WHITNEY & COMPANY, INC.
Adviser information for HAMMOND, KENNEDY, WHITNEY & COMPANY, INC. last updated from Form ADV on March 28th, 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 | New York, United States |
Employees
| Total Number of Employees | 9 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| 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 | 5 | $623.3M |
| Non-Discretionary | 0 | $0 |
| Total | 5 | $623.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 5 | $623.3M |
| 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 | INVESTMENT ADVISER TO PRIVATE INVESTMENT FUNDS |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-73323 |
|---|---|
| SEC ERA File Number | 801-73323 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 161288 |
| Legal Entity Identifier | None |
Principal Office
ONE INDIANA SQUARESUITE 2650
INDIANAPOLIS
IN
United States
Monday - Friday, 8:30AM-5:00 PM
Tel: 317-574-6900, Fax: None
Chief Compliance Officer
MONIKA GUPTA
140 E. 45TH STREET, 29TH FLOOR
2 GRAND CENTRAL TOWER
NEW YORK
NY
United States
Tel:
929-562-1422
M***********@************M
(Full email address available in API data)
Regulatory Contact
JAMES SNYDER
PARTNER
ONE INDIANA SQUARE
SUITE 2650
INDIANAPOLIS
IN
United States
Tel:
317-705-8815
J**@*********M
(Full email address available in API data)
Industry Affiliates
| HKW MANAGEMENT IV, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| HKW MANAGEMENT V, L.P. | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| HKW CAPITAL PARTNERS IV-A, L.P. | Private Equity Fund | $17.8M | $5.0M | 43 |
| HKW CAPITAL PARTNERS IV-B, L.P. | Private Equity Fund | $12.9M | $5.0M | 2 |
| HKW CAPITAL PARTNERS IV, L.P. | Private Equity Fund | $109.9M | $5.0M | 22 |
| HKW CAPITAL PARTNERS V-A, L.P. | Private Equity Fund | $49.6M | $5.0M | 41 |
| HKW CAPITAL PARTNERS V, L.P. | Private Equity Fund | $433.0M | $5.0M | 63 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FOISY, MICHAEL, ANTHONY | Individual | – | PRESIDENT, PARTNER | 01/2011 | 25-50% |
| KRAMER, TED, H | Individual | – | CEO, PARTNER | 01/2007 | 25-50% |
| SNYDER, JAMES, CLINTON | Individual | – | PARTNER | 08/1999 | 25-50% |
| ROBINSON, KENT, WILLIAM | Individual | – | PARTNER | 09/2017 | 25-50% |
| GUPTA, MONIKA, NMN | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2024 | < 5% |