Wealth manager, independent · Katonah, NY
Hollow Brook Wealth Management LLC
SEC-registered investment adviser · CRD 145521 · SEC 801-68599
At a glance
Hollow Brook Wealth Management LLC is an SEC-registered investment adviser based in Katonah, New York, with $1.4B in regulatory assets under management as of its Form ADV filed March 30, 2026. It reports 549 individual clients, 459 of them high-net-worth, holding an average of about $2.3 million each, and 18 employees. That ranks it 812th among the nation’s 5,657 independent wealth management RIAs and 65th of 408 in New York. It reports BNY Pershing as the custodian for its clients’ separately managed accounts.
Main office 212-364-1848hollowbrookllc.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.4B
- Rank among independent wealth managers
- #812 of 5,657
- Rank among all SEC RIAs
- #4,517 of 17,210
- Rank in New York
- #65 of 408
- Individual clients
- 549
- High-net-worth clients
- 459
- Accounts
- 603
- Discretionary
- 61% of AUM
- Employees
- 18
- Advisory staff
- 4
- Offices
- 2
Owners and executives on its Form ADV
- Philip E. RichterPresident, Founder & Co-Chief Investment Officer, CCO
- Alan L. BazaarCEO & Co-Chief Investment Officer
Custody and brokerage
Broker-dealer
No broker-dealer ties
Hollow Brook Wealth Management LLC reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 459 | $1.3B | 92% |
| Corporations or other businesses | 30 | $52M | 4% |
| Charitable organizations | 24 | $35M | 3% |
| Individuals | 90 | $19M | 1% |
Disciplinary disclosures
Hollow Brook Wealth Management LLC reports no disciplinary disclosures in Item 11 of Form ADV. 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
- Selecting other advisers
- Periodicals or newsletters
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Fixed fees
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗hollowbrookllc.com ↗
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The full record on Hollow Brook 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 2,711 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 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.
Similar-size RIAs in New York
All of New York →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Matrix Asset Advisors IncWhite Plains | $1.4B | 607 |
| The Pinnacle Financial GroupRockville Centre | $1.4B | 3,150 |
| Next Level Private LLCHarrison | $1.4B | 799 |
| Sgroi Wealth Advisory Group LLCWest Seneca | $1.4B | 7,647 |
| Payne Capital Management, LLCNew York | $1.3B | 964 |
| J.J. Burns & CompanyMelville | $1.3B | 617 |
Background
Questions
How much does Hollow Brook Wealth Management LLC manage?
Hollow Brook Wealth Management LLC reports $1.4B in regulatory assets under management across 603 accounts, 61% of it on a discretionary basis, on its Form ADV filed March 30, 2026.
How many clients does Hollow Brook Wealth Management LLC have?
It reports 549 individual clients: 459 high-net-worth individuals and 90 other individuals. Individuals account for about 94% of its regulatory assets.
Where is Hollow Brook Wealth Management LLC headquartered?
Its main office is in Katonah, New York. It reports 2 offices in total and 18 employees, 4 of whom perform investment advisory functions.
How does Hollow Brook Wealth Management LLC charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; fixed fees; performance-based fees. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Hollow Brook Wealth Management LLC use?
It reports BNY Pershing as the custodian for its clients’ separately managed accounts. On Schedule D of its Form ADV filed March 30, 2026, it reports these amounts held: BNY Pershing ($829M). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Hollow Brook Wealth Management LLC a hybrid RIA with a broker-dealer?
Hollow Brook Wealth Management LLC reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Is Hollow Brook Wealth Management LLC a fiduciary?
As an SEC-registered investment adviser, Hollow Brook Wealth Management LLC owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. It reports no employees who are registered representatives of a broker-dealer.
Where these numbers come from
Every figure is Hollow Brook 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 (2026-03-30), 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). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. 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 →