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HENNESSY ADVISORS, INC.
HENNESSY ADVISORS, INC. (CRD# 110770) is an SEC-Registered Investment Advisor (RIA), headquartered in Novato, CA. The SEC approved the firm to operate as an RIA in Apr 1990. In Dec 2018, the firm reported total Regulatory Assets Under Management (RAUM) of $5.8 Billion, with discretion over 100% of those assets.   Pooled investment vehicles (Private Funds) account for 0% of RAUM.   Non-US investors represent 0% .  
 
HENNESSY ADVISORS, INC. also reported in Dec 2018
  • 23 employees, with 7 performing advisory functions.
  • A total of 3 office locations.
  • No registrations with foreign financial regulatory authorities.
  • NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
HENNESSY ADVISORS, INC. has no disclosure events reported to the SEC at this time.
 

View HENNESSY ADVISORS, INC.'s most recent Form ADV filing
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HENNESSY ADVISORS, INC. has Notice Filings with the following State Securities Authorities: CA-Jul 1997


Disclaimer: 
The information presented above was gleaned from the SEC website and is believed to be accurate.  FindingFraud.org is presenting this data for informational purposes only and assumes no responsibility for errors or omissions.  Please note that we are aware of many instances where RIAs provided erroneous data to the SEC.  Feel free to contact FindingFraud.org with questions or concerns.


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