Hooker & Holcombe Investment Advisors, Inc. (Bloomfield)

Name: Hooker & Holcombe Investment Advisors, Inc.
Address: 1300 Hall Boulevard, Suite 1 C, Bloomfield, CT, 06002
Telephone: 860-521-8400

Hooker & Holcombe Investment Advisors, Inc. is a large advisory firm based in Bloomfield. It manages $518.69 million of regulatory assets for 77 client accounts. It has been registered with the SEC as an adviser since 2004 and has operated in the jurisdictions of Connecticut, Massachusetts, and New York.

Hooker & Holcombe Investment Advisors provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, pension consulting services, selection of other advisers, publication of newsletters, educational seminars and workshops, and rfp and auditing services. It prepares financial plans for more than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Hooker & Holcombe Investment Advisors: assets under management

The assets under management (AUM) of Hooker & Holcombe Investment Advisors, Inc. is $518.69 million. The firm's AUM has grown by 76% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $169.84 million in discretionary accounts and $348.85 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $3.95 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $10.26 million.

Investments

The firm invests in investment and business development companies the most. They account for 97% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 3% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Hooker & Holcombe Investment Advisors, Inc. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Evan Woollacott serves?

The firm provides services to individuals, high net worth individuals, pension and profit sharing plans, and state or municipal government entities. The largest group of clients of Evan Woollacott is pension and profit sharing plans with 22 clients and $346.68 million of assets under management. Among the 12 most similar advisory firms, Hooker & Holcombe Investment Advisors has the 2nd highest percentage of pension and profit sharing plans out of all clients.

The amount of regulatory assets under management is $518.69 million for 77 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Hooker & Holcombe Investment Advisors doesn't advise any private funds.

Careers at Hooker & Holcombe Investment Advisors, Inc.

The company employs 7 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 7 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Evan Woollacott has been acting as President since 1 Jun 2009. Rodger Karl Metzger has served as the Chief Investment Officer since 1 Jun 2005. John Nelson Fuller joined the executive team most recently as the Secretary And Treasurer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Hooker & Holcombe	Sole shareholder	1 Aug 1996	75% - 100%	06-0854693
Stuart Howard Herskowitz	Director	1 May 1997	Other	2279911
Timothy Clifford Burns	President & chief investment officer	1 Oct 2002	Other	4344650
Arthur Lee Gaither	Director	1 Aug 2003	Other	4648624
Arthur J Assantes	Director	1 Aug 2003	Other	4648627
Keith Wilfred Boyce	Chief compliance officer	1 Nov 2003	Other	4736694
Arthur J Assantes	President, chief compliance officer, treasurer	1 Jun 2005	Other	4648627
Rodger Karl Metzger	Chief investment officer	1 Jun 2005	Other	4972364
John Nelson Fuller	Chief compliance officer	1 Dec 2005	Other	3119179
Evan Woollacott	Director	1 Jun 2009	Other	6298743
Rodger Karl Metzger	President & chief investment officer	1 Aug 2009	Other	4972364
Arthur J Assantes	Treasurer	1 Aug 2009	Other	4648627
Ronald Oscar Schlee	Treasurer	1 Jan 2011	Other	4648645
Richard Sych	Director	1 Jul 2011	Other	6298731
Arthur Lee Gaither	Director, secretary and treasurer	1 Jan 2012	Other	4648624
Rodger Karl Metzger	President, chief investment officer, chairman	1 Jan 2012	Other	4972364
John Nelson Fuller	Secretary and treasurer	1 May 2015	Other	3119179

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Ronald Oscar Schlee	Shareholder	1 Dec 2001	25% - 50%	4648645
Arthur Lee Gaither	Shareholder	1 Dec 2003	25% - 50%	4648624

Based in Bloomfield

The principal office where Hooker & Holcombe Investment Advisors, Inc. performs its advisory services is located at 1300 Hall Boulevard, Suite 1 C, Bloomfield, CT 06002, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 860-521-8400 or by fax 860-521-3742. The normal business hours are 8:30 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at hhconsultants.com.