HENLEY & COMPANY WEALTH MANAGEMENT LLC
Adviser information for HENLEY & COMPANY WEALTH MANAGEMENT LLC last updated from Form ADV on February 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 6 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 141 | $90.8M |
| Non-Discretionary | 1 | $166,369 |
| Total | 142 | $90.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 97 | $17.5M |
| HNW Individuals | 34 | $58.9M |
| 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 | 7 | $7.8M |
| Charitable organizations | <5 | $4.3M |
| 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 | <5 | $2.5M |
| 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 businessesPortfolio management for businesses or institutional clientsPension consulting services |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-77007 |
|---|---|
| SEC ERA File Number | 801-77007 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 144884 |
| Legal Entity Identifier | None |
Principal Office
506 RXR PLAZAUNIONDALE
NY
United States
Monday - Friday, 8:30 AM TO 5:00 PM
Tel: 516-794-5520, Fax: 516-794-6207
Chief Compliance Officer
MARIA GERMANO-ALESSI
DIRECTOR OF OPERATIONS
506 RXR PLAZA
UNIONDALE
NY
United States
Tel:
516-393-5144
Fax:
516-794-6207
M******@***********T
(Full email address available in API data)
Regulatory Contact
FRANCIS P. GEMINO
PRESIDENT, MANAGING MEMBER
506 RXR PLAZA
UNIONDALE
NY
United States
Tel:
516-794-5520
Fax:
516-794-6207
F******@***********T
(Full email address available in API data)
Industry Affiliates
| HENLEY & COMPANY LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GEMINO, FRANCIS, PATRICK | Individual | – | MANAGING MEMBER | 09/2007 | > 75% |
| ALBANESE, JAMES, JOSEPH | Individual | – | SENIOR VICE PRESIDENT/ SVP TRADING | 09/2007 | < 5% |
| FORTINO, ROBERT, ANTHONY | Individual | – | CHIEF FINANCIAL OFFICER | 09/2007 | < 5% |
| GERMANO-ALESSI, MARIA, TERESA | Individual | – | CHIEF COMPLIANCE OFFICER/DIRECTOR OF OPERATIONS | 08/2018 | < 5% |