Wealth manager, wrap-program sponsor · Uniondale, NY
Henley & Company Wealth Management LLC
SEC-registered investment adviser · CRD 144884 · SEC 801-77007
At a glance
Henley & Company Wealth Management LLC is an SEC-registered investment adviser based in Uniondale, New York, with $94 million in regulatory assets under management as of its Form ADV filed March 25, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 63 individual clients. By Form ADV it is a wealth manager (wrap-program sponsor), ranked 8,311th of 8,915 wealth managers and 15,496th of 17,210 SEC-registered advisers by assets.
Main office 516-794-5520henleyandcompany.comAs filed on Form ADV
- Regulatory AUM
- $94M
- Rank among wealth managers
- #8,311 of 8,915
- Rank among all SEC RIAs
- #15,496 of 17,210
- Rank in New York
- #2,195 of 2,591
- Individual clients
- 63
- High-net-worth clients
- 22
- Accounts
- 108
- Discretionary
- 100% of AUM
- Employees
- 6
- Advisory staff
- 3
- Offices
- 1
Owners and executives on its Form ADV
- Francis P. GeminoManaging Member
- James J. AlbaneseSenior Vice President/ SVP Trading
- Robert A. FortinoChief Financial Officer
- Maria T. Germano-AlessiChief Compliance Officer/director of Operations
Custody and brokerage
Broker-dealer
Hybrid RIA
Henley & Company Wealth Management LLC is a hybrid RIA: 6 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Henley & Company LLC.
- Henley & Company LLC ↗CRD 131453
Its Form ADV brochure (filed March 2026) names Henley & Company as the broker-dealer its advisers are registered with.
ng investment advice on behalf of our firm are registered representatives with Henley & Company, LLC, a securities broker-dealer, and a member of the Financial Industry Regulatory Authority and the Securities Investor Protection Corporatio
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 22 | $67M | 71% |
| Individuals | 41 | $14M | 15% |
| Pension and profit sharing plans | 6 | $12M | 12% |
| Corporations or other businesses | 2 | $2M | 2% |
Disciplinary disclosures
Henley & Company Wealth Management LLC answers yes to 4 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗henleyandcompany.com ↗
AtlasMembers
The full record on Henley & Company Wealth Management LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 4,061 peers of its type and size
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- Owners and executives, with titles and stakes
- 4 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Henley & Company Wealth Management LLC manage?
Henley & Company Wealth Management LLC reports $94 million in regulatory assets under management across 108 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 25, 2026.
What kind of firm is Henley & Company Wealth Management LLC?
Henley & Company Wealth Management LLC is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Henley & Company Wealth Management LLC’s clients?
By assets, its largest client types are high-net-worth individuals ($67 million, 22 clients); individuals ($14 million, 41 clients); pension and profit sharing plans ($12 million, 6 clients).
Does Henley & Company Wealth Management LLC have any disciplinary history?
Henley & Company Wealth Management LLC answers yes to 4 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Henley & Company Wealth Management LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-25), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →